RS
Richard M. Schultz
T. ROWE PRICE ASSOCIATES
Brentwood, TN
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CRD#: 2945332
RS
Professional summary
Richard Michael Schultz, CIMA® is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Brentwood, Tennessee and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) HTP; Non Investment Related; Personal band; Drummer; 10/3/2022*; 1 hour/month 0 during trading; Play rock cover songs and rarely receive payment (2) Mint Memorabilia LLC; Non Investment Related; 4/19/2024; mmbreaks.com; Class A Member, No voting rights or decision making; Silent shareholder/investor in the business; Retail Sports Card and Memorabilia shop; 5% ownership of the company; 0 hours spent;
CRS (Client Relationship Summary) - RIA
Click below to view Richard Michael Schultz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 1, 2019 - Present
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Brentwood, TN
Current
June 14, 2017 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
June 21, 2017 - March 6, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
BALTIMORE, MD
Past
January 24, 2017 - May 4, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Chicago, IL
Past
January 3, 2012 - May 4, 2017
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
CHICAGO, IL
Past
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
CHICAGO, IL
Past
August 20, 2007 - January 30, 2017
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
PRINCETON, NJ
Past
August 20, 2007 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
CHICAGO, IL
Past
December 19, 2000 - August 10, 2007
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
LAGRANGE, IL
Past
December 5, 1997 - August 10, 2007
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/5/2017)
RR
Alaska(7/5/2017)
RR
Arizona(7/5/2017)
RR
Arkansas(7/5/2017)
RR
California(6/14/2017)
RR
Colorado(7/5/2017)
RR
Connecticut(7/5/2017)
RR
Delaware(7/5/2017)
RR
District of Columbia(7/5/2017)
RR
Florida(7/5/2017)
RR
Georgia(7/5/2017)
RR
Hawaii(7/5/2017)
RR
Idaho(7/5/2017)
RR
Illinois(7/5/2017)
RR
Indiana(7/5/2017)
RR
Iowa(7/5/2017)
RR
Kansas(7/5/2017)
RR
Kentucky(7/5/2017)
RR
Louisiana(7/5/2017)
RR
Maine(7/5/2017)
RR
Maryland(6/14/2017)
IAR
Maryland(3/1/2019)
RR
Massachusetts(7/5/2017)
RR
Michigan(7/5/2017)
RR
Minnesota(7/5/2017)
RR
Mississippi(7/5/2017)
RR
Missouri(7/5/2017)
RR
Montana(7/5/2017)
RR
Nebraska(7/5/2017)
RR
Nevada(7/5/2017)
RR
New Hampshire(7/5/2017)
RR
New Jersey(7/5/2017)
RR
New Mexico(7/5/2017)
RR
New York(7/5/2017)
RR
North Carolina(7/6/2017)
RR
North Dakota(7/5/2017)
RR
Ohio(7/5/2017)
RR
Oklahoma(7/5/2017)
RR
Oregon(7/5/2017)
RR
Pennsylvania(7/5/2017)
RR
Puerto Rico(7/5/2017)
RR
Rhode Island(7/5/2017)
RR
South Carolina(7/5/2017)
RR
South Dakota(7/5/2017)
RR
Tennessee(7/5/2017)
IAR
Tennessee(6/16/2021)
RR
Texas(7/5/2017)
RR
Utah(7/5/2017)
RR
Vermont(7/5/2017)
RR
Virgin Islands(7/5/2017)
RR
Virginia(7/5/2017)
RR
Washington(7/5/2017)
RR
West Virginia(7/5/2017)
RR
Wisconsin(7/5/2017)
RR
Wyoming(7/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
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Contact information
Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
Phone number
(410) 345-2000
Established
Firm type
Fiscal year end
# of Employees
3,947
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
