Thomas E. Baranowski
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.
Thomas Eugene Baranowski, who also goes by Thomas E Baranowski, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2010 - February 4, 2014
T. ROWE PRICE ADVISORY SERVICES, INC.
July 19, 2010 - February 4, 2014
T. ROWE PRICE INVESTMENT SERVICES, INC.
September 18, 2007 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
November 8, 2004 - July 7, 2006
AMERICAN CENTURY INVESTMENT SERVICES INC.
July 9, 2003 - July 28, 2003
AMERIPRISE ADVISOR SERVICES, INC.
February 14, 2003 - July 28, 2003
AMERIPRISE ADVISOR SERVICES, INC.
April 5, 2002 - June 5, 2002
NUVEEN FUND ADVISORS, LLC
July 26, 1999 - May 10, 2002
NUVEEN SECURITIES, LLC
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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 ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
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.
