Richard E. Falcione
Professional summary
Richard E Falcione, CIMA®, who also goes by Richard E. Falcione, Richard Etto Falcione, Rick Falcione, is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Carmel, Indiana 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 2000. Richard has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard E Falcione's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2019 - Present
T. ROWE PRICE ASSOCIATES, INC.
June 14, 2018 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231June 15, 2018 - March 6, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
April 20, 2006 - May 25, 2018
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
August 31, 2004 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
September 11, 2000 - May 25, 2018
AMUNDI DISTRIBUTOR US, INC.
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
State Registrations and Notice Filings
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Exams
FINRA
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.
