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RB

Rachael S. Brumund

T. ROWE PRICE INVESTMENT SERVICES
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 5141398
RB

Professional summary

Rachael Shilen Brumund, who also goes by Rachael Elaine Shilen Ms., Rachael Elaine Shilen, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Rachael is registered as a RR (Registered Representative) and started their career in finance in 2006. Rachael has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rachael Elaine Shilen Ms. | Rachael Elaine Shilen

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 Rachael Shilen Brumund'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

February 6, 2025 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231
BD
CRD#: 8348
BALTIMORE, MD
Past

September 20, 2018 - January 13, 2025

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

January 4, 2017 - March 26, 2018

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

December 16, 2013 - January 4, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

June 3, 2013 - November 15, 2013

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

April 13, 2009 - October 2, 2012

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

August 23, 2007 - March 5, 2009

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

July 17, 2006 - August 16, 2007

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
CHICAGO, IL
Past

June 26, 2006 - August 16, 2007

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
CHICAGO, IL

State Registrations and Notice Filings

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

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
(2/6/2025)
RR
Alaska
(2/6/2025)
RR
Arizona
(2/6/2025)
RR
Arkansas
(2/6/2025)
RR
California
(2/6/2025)
RR
Colorado
(2/6/2025)
RR
Connecticut
(2/6/2025)
RR
Delaware
(2/6/2025)
RR
District of Columbia
(2/6/2025)
RR
Florida
(2/6/2025)
RR
Georgia
(2/6/2025)
RR
Hawaii
(2/6/2025)
RR
Idaho
(2/6/2025)
RR
Illinois
(2/6/2025)
RR
Indiana
(2/6/2025)
RR
Iowa
(2/6/2025)
RR
Kansas
(2/6/2025)
RR
Kentucky
(2/6/2025)
RR
Louisiana
(2/6/2025)
RR
Maine
(2/6/2025)
RR
Maryland
(2/6/2025)
RR
Massachusetts
(2/6/2025)
RR
Michigan
(2/6/2025)
RR
Minnesota
(2/6/2025)
RR
Mississippi
(2/6/2025)
RR
Missouri
(2/6/2025)
RR
Montana
(2/6/2025)
RR
Nebraska
(2/6/2025)
RR
Nevada
(2/6/2025)
RR
New Hampshire
(2/6/2025)
RR
New Jersey
(2/6/2025)
RR
New Mexico
(2/6/2025)
RR
New York
(2/6/2025)
RR
North Carolina
(2/6/2025)
RR
North Dakota
(2/6/2025)
RR
Ohio
(2/6/2025)
RR
Oklahoma
(2/6/2025)
RR
Oregon
(2/6/2025)
RR
Pennsylvania
(2/6/2025)
RR
Puerto Rico
(2/6/2025)
RR
Rhode Island
(2/6/2025)
RR
South Carolina
(2/6/2025)
RR
South Dakota
(2/6/2025)
RR
Tennessee
(2/6/2025)
RR
Texas
(2/6/2025)
RR
Utah
(2/6/2025)
RR
Vermont
(2/6/2025)
RR
Virgin Islands
(2/6/2025)
RR
Virginia
(2/6/2025)
RR
Washington
(2/6/2025)
RR
West Virginia
(2/6/2025)
RR
Wisconsin
(2/6/2025)
RR
Wyoming
(2/6/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/6/2013
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T. ROWE PRICE ASSOCIATES, INC.SHAREHOLDER
BROWN, ANNE WHITESCARVERVICE PRESIDENT/DIRECTOR2396529
COYNE, TIMOTHY JOHNDIRECTOR2096849
HERR, DAVID JVICE PRESIDENT/DIRECTOR7659903
KORENMAN, PHILLIPPRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD4531831
MUMFORD, STEPHANIE PETERSVICE PRESIDENT/CCO2725261
NEWMAN, CHRISTOPHER CUDDYVICE PRESIDENT/DIRECTOR2037516
NYCE, BRITTONVICE PRESIDENT/CONTROLLER7313600

Disclosures

Regulatory Event1
Arbitration3

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.

Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348Baltimore, MD 21231

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