Christopher D. Ferrara

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CRD#: 4132988

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.

Christopher David Ferrara, who also goes by Christopher Ferrara, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Christopher Ferrara

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.

M&M SPORTS CARD CORP; NOT INVESTMENT RELATED; RALEIGH,NC; ECOMMERCE; 100% OWNER; JUNE 2021; 6-8 HOURS PER WEEK, 0 DURING TRADING; BUY AND SELL SPORTS CARDS PRIMARILY THROUGH EBAY

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 3, 2021 - March 14, 2025

T. ROWE PRICE ASSOCIATES, INC.

RIA

CRD#: 105496

Ponte Vedra, FL

Past

September 30, 2015 - March 14, 2025

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

Ponte Vedra, FL

Past

April 4, 2012 - August 18, 2015

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

June 1, 2009 - April 10, 2012

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

May 4, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 3, 2004 - April 20, 2007

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

September 28, 2000 - September 16, 2002

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/30/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/22/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/27/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/3/2012

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/27/2005

Investment Company Products/Variable Contracts Principal Examination

Current Firm

T. ROWE PRICE ASSOCIATES, INC.

CRD#: 105496 / SEC#: 801-856

RIA

Registered Investment Advisory firm - (3/29/1947 Approved)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

T. ROWE PRICE ASSOCIATES, INC. (3/31/2025)

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	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Christopher D. Ferrara

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T. ROWE PRICE INVESTMENT SERVICES, INC.

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

NYLIFE DISTRIBUTORS LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

T. ROWE PRICE ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/30/2021

Series 63

Date: 1/22/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2007

Series 6

Date: 9/27/2000

Series 24

Date: 8/3/2012

Series 26

Date: 10/27/2005

Current Firm

T. ROWE PRICE ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

T. ROWE PRICE ASSOCIATES, INC.

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