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SR

Sarah H. Regan

T. ROWE PRICE INVESTMENT SERVICES
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 5920306
SR

Professional summary

Sarah Hawkins Regan, who also goes by Sarah F Hawkins, Sarah Farrington Hawkins, Sarah H Regan, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Sarah is registered as a RR (Registered Representative) and started their career in finance in 2014. Sarah has worked at 3 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sarah F Hawkins | Sarah Farrington Hawkins | Sarah H Regan

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 Sarah Hawkins Regan'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

June 14, 2018 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

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

November 16, 2015 - August 3, 2017

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

April 11, 2014 - November 11, 2015

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Maryland
(6/14/2018)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/11/2014
General Securities Representative 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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