Adam J. Varga
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam John Varga, CIMA® was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1998. Adam had worked at 5 firms and has passed the Series 63, Series 66, Series 3, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2017 - March 23, 2023
T. ROWE PRICE ASSOCIATES, INC.
May 6, 2013 - March 23, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 26, 2005 - August 16, 2007
CHARLES SCHWAB & CO., INC.
October 26, 2005 - August 16, 2007
CHARLES SCHWAB & CO., INC.
August 9, 2004 - October 21, 2005
PIPER SANDLER & CO.
September 12, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
December 8, 1998 - August 11, 2000
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
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.
