Brandon R. Shea

T. ROWE PRICE INVESTMENT SERVICES

BALTIMORE, MD 21231

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CRD#: 4235160

Professional summary

Brandon Robert Shea, who also goes by Brandon R Shea, Brandon Robert Shea, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2000. Brandon has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brandon R Shea | Brandon Robert Shea

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Robert Shea's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 16, 2017 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231

CRD#: 8348

BALTIMORE, MD

Past

January 26, 2011 - April 7, 2016

VIRTUS CAPITAL ADVISERS, LLC

RIA

CRD#: 107346

GALLATIN, TN

Past

January 24, 2011 - April 7, 2016

FORESIDE ASSOCIATES, LLC

CRD#: 13494

GALLATIN, TN

Past

April 20, 2006 - January 7, 2011

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

February 24, 2006 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

February 24, 2006 - December 23, 2010

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

December 1, 2005 - December 20, 2005

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

November 2, 2005 - December 21, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

STAMFORD, CT

Past

March 11, 2004 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 24, 2000 - July 7, 2003

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(3/16/2017)

Alaska
(3/16/2017)

Arizona
(3/16/2017)

Arkansas
(3/16/2017)

California
(3/16/2017)

Colorado
(3/16/2017)

Connecticut
(3/16/2017)

Delaware
(3/16/2017)

District of Columbia
(3/16/2017)

Florida
(3/16/2017)

Georgia
(3/16/2017)

Hawaii
(3/16/2017)

Idaho
(3/16/2017)

Illinois
(3/16/2017)

Indiana
(3/16/2017)

Iowa
(3/16/2017)

Kansas
(3/16/2017)

Kentucky
(3/16/2017)

Louisiana
(3/16/2017)

Maine
(3/16/2017)

Maryland
(3/16/2017)

Massachusetts
(3/16/2017)

Michigan
(3/16/2017)

Minnesota
(3/16/2017)

Mississippi
(3/16/2017)

Missouri
(3/16/2017)

Montana
(3/16/2017)

Nebraska
(3/16/2017)

Nevada
(3/16/2017)

New Hampshire
(3/16/2017)

New Jersey
(3/16/2017)

New Mexico
(3/16/2017)

New York
(3/16/2017)

North Carolina
(3/20/2017)

North Dakota
(3/16/2017)

Ohio
(3/16/2017)

Oklahoma
(3/16/2017)

Oregon
(3/16/2017)

Pennsylvania
(3/16/2017)

Puerto Rico
(3/16/2017)

Rhode Island
(3/16/2017)

South Carolina
(3/16/2017)

South Dakota
(3/16/2017)

Tennessee
(3/16/2017)

Texas
(3/16/2017)

Utah
(3/16/2017)

Vermont
(3/16/2017)

Virgin Islands
(3/16/2017)

Virginia
(3/16/2017)

Washington
(3/16/2017)

West Virginia
(3/16/2017)

Wisconsin
(3/16/2017)

Wyoming
(3/16/2017)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/23/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/2001

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: 5/17/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/23/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/17/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

T. ROWE PRICE INVESTMENT SERVICES, INC.

ROWE PRICE MARKETING, INC. | T. ROWE PRICE MARKETING, INC. | T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348 / SEC#: , 8-25130

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1307 Point Street, Baltimore, MD 21231

Mailing Address

1307 Point Street, Baltimore, MD 21231

Phone number

(410) 345-2000

Established

Maryland since 06/10/1980

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
T. ROWE PRICE ASSOCIATES, INC.	SHAREHOLDER
BROWN, ANNE WHITESCARVER	VICE PRESIDENT/DIRECTOR	2396529
COYNE, TIMOTHY JOHN	DIRECTOR	2096849
HERR, DAVID J	VICE PRESIDENT/DIRECTOR	7659903
KORENMAN, PHILLIP	PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD	4531831
MUMFORD, STEPHANIE PETERS	VICE PRESIDENT/CCO	2725261
NEWMAN, CHRISTOPHER CUDDY	VICE PRESIDENT/DIRECTOR	2037516
NYCE, BRITTON	VICE PRESIDENT/CONTROLLER	7313600

Disclosures

Regulatory Event	1
Arbitration	3

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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Advisor Monitoring

Firm Stability Insights

Brandon R. Shea

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Robert Shea's CRS (Customer Relationship Summary).

Certified licenses

Experience

VIRTUS CAPITAL ADVISERS, LLC

FORESIDE ASSOCIATES, LLC

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TRANSAMERICA CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/23/2005

Series 63

Date: 5/30/2001

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2001

Series 6

Date: 8/23/2000

Series 24

Date: 5/17/2011

FINRA

Current Firm

T. ROWE PRICE INVESTMENT SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

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