CG
Carlos J. Gonzalez
T. ROWE PRICE ASSOCIATES
Arlington Heights, IL
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CRD#: 5077316
CG
Professional summary
Carlos Jesus Gonzalez is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Arlington Heights, Illinois and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Carlos has worked at 6 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view Carlos Jesus Gonzalez's 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®
NoneExperience
Current
September 29, 2021 - Present
T. ROWE PRICE ASSOCIATES, INC.
RIA
CRD#: 105496
Arlington Heights, IL
Current
September 29, 2021 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
May 26, 2009 - August 20, 2021
ADVISORS ASSET MANAGEMENT, INC.
RIA
CRD#: 46727
THE WOODLANDS, TX
Past
May 26, 2009 - August 20, 2021
ADVISORS ASSET MANAGEMENT, INC.
BD
CRD#: 46727
LISLE, IL
Past
March 19, 2007 - November 4, 2008
GUGGENHEIM INVESTMENTS
RIA
CRD#: 129288
LISLE, IL
Past
March 19, 2007 - May 20, 2009
GUGGENHEIM FUNDS DISTRIBUTORS, LLC
BD
CRD#: 39805
CHICAGO, IL
Past
June 14, 2006 - March 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOMBARD, IL
Past
April 12, 2006 - March 14, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LOMBARD, IL
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".
TR
T. ROWE PRICE ASSOCIATES, INC.
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(9/29/2021)
RR
Alaska(9/29/2021)
RR
Arizona(9/29/2021)
RR
Arkansas(9/29/2021)
RR
California(9/29/2021)
RR
Colorado(9/29/2021)
RR
Connecticut(9/29/2021)
RR
Delaware(9/29/2021)
RR
District of Columbia(9/29/2021)
RR
Florida(9/29/2021)
RR
Georgia(9/29/2021)
RR
Hawaii(9/29/2021)
RR
Idaho(9/29/2021)
RR
Illinois(9/29/2021)
IAR
Illinois(9/29/2021)
RR
Indiana(9/29/2021)
RR
Iowa(9/29/2021)
RR
Kansas(9/29/2021)
RR
Kentucky(9/29/2021)
RR
Louisiana(9/29/2021)
RR
Maine(9/29/2021)
RR
Maryland(9/29/2021)
IAR
Maryland(9/29/2021)
RR
Massachusetts(9/29/2021)
RR
Michigan(9/29/2021)
RR
Minnesota(9/29/2021)
RR
Mississippi(9/29/2021)
RR
Missouri(9/29/2021)
RR
Montana(9/29/2021)
RR
Nebraska(9/29/2021)
RR
Nevada(9/29/2021)
RR
New Hampshire(9/29/2021)
RR
New Jersey(9/29/2021)
RR
New Mexico(9/29/2021)
RR
New York(9/29/2021)
RR
North Carolina(9/29/2021)
RR
North Dakota(9/29/2021)
RR
Ohio(9/30/2021)
RR
Oklahoma(9/29/2021)
RR
Oregon(9/29/2021)
RR
Pennsylvania(9/29/2021)
RR
Puerto Rico(9/29/2021)
RR
Rhode Island(9/29/2021)
RR
South Carolina(9/29/2021)
RR
South Dakota(9/29/2021)
RR
Tennessee(9/29/2021)
RR
Texas(9/29/2021)
RR
Utah(9/29/2021)
RR
Vermont(9/29/2021)
RR
Virgin Islands(9/29/2021)
RR
Virginia(9/29/2021)
RR
Washington(9/29/2021)
RR
West Virginia(9/29/2021)
RR
Wisconsin(9/29/2021)
RR
Wyoming(9/29/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
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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
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.
