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Detailed Report
Brian T Whalen
BRIAN THOMAS WHALEN
CRD#: 2789565
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Investment Adviser
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Broker
T. ROWE PRICE ADVISORY SERVICES, INC.CRD#: 108958 Four Financial Center
4525 Painters Mill Road
Owings Mills, MD 21117
T. ROWE PRICE INVESTMENT SERVICES, INC.CRD#: 8348 Marriottsville, MD
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 1997 (<1 year)IAT. ROWE PRICE ADVISORY SERVICE... (CRD# 108958)2022 - Present (2 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2019 - Present (6 years)BMERIDIAN EQUITY PARTNERS, INC. (CRD# 133849)2007 - 2011 (3 years)BROBERT G. PEARS & CO., INC. (CRD# 32215)2004 - 2007 (3 years)BZ&Z SECURITIES INC. (CRD# 44377)2007 - 2007 (<1 year)BMONACO BROKERAGE CORPORATION (CRD# 33151)2001 - 2004 (3 years)BLABRANCHE FINANCIAL SERVICES, INC. (CRD# 7432)2002 - 2002 (<1 year)BDEUTSCHE BANC ALEX. BROWN INC. (CRD# 2525)1999 - 2001 (1 year)BBT ALEX. BROWN INCORPORATED (CRD# 17790)1998 - 1999 (1 year)BOSCAR GRUSS & SON, INCORPORATED (CRD# 2091)1997 - 1998 (<1 year)
License(s)

State Registrations

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Alabama 4/22/2019
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Montana 4/22/2019
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Alaska 4/22/2019
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Nebraska 4/22/2019
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Arizona 4/22/2019
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Nevada 4/22/2019
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Arkansas 4/22/2019
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New Hampshire 4/22/2019
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California 4/22/2019
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New Jersey 4/22/2019
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Colorado 4/22/2019
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New Mexico 4/22/2019
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Connecticut 4/22/2019
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New York 4/22/2019
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Delaware 4/22/2019
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North Carolina 4/22/2019
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District of Columbia 4/22/2019
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North Dakota 4/22/2019
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Florida 4/22/2019
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Ohio 4/22/2019
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Georgia 4/22/2019
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Oklahoma 4/22/2019
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Hawaii 4/22/2019
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Oregon 4/22/2019
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Idaho 4/22/2019
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Pennsylvania 4/22/2019
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Illinois 4/22/2019
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Puerto Rico 4/22/2019
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Indiana 4/22/2019
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Rhode Island 4/22/2019
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Iowa 4/22/2019
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South Carolina 4/22/2019
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Kansas 4/22/2019
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South Dakota 4/22/2019
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Kentucky 4/22/2019
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Tennessee 4/22/2019
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Louisiana 4/22/2019
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Texas 4/22/2019
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Maine 4/22/2019
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Utah 4/22/2019
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Maryland 3/1/2019
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Vermont 4/22/2019
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Maryland 9/26/2022
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Virgin Islands 4/22/2019
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Massachusetts 4/22/2019
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Virginia 4/22/2019
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Michigan 4/22/2019
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Washington 4/22/2019
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Minnesota 4/22/2019
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West Virginia 4/22/2019
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Mississippi 4/22/2019
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Wisconsin 4/22/2019
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Missouri 4/22/2019
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Wyoming 4/22/2019

SRO Registrations

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 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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T. ROWE PRICE ADVISORY SERVICES, INC. (CRD#:108958)
Four Financial Center 4525 Painters Mill Road, Owings Mills, MD 21117
Registered with this firm since 9/26/2022
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T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348)
Marriottsville, MD
FOUR FINANCIAL CENTER 4525 PAINTERS MILL ROAD, OWINGS MILLS, MD 21117
Registered with this firm since 3/1/2019
Previous Registration(s)
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 11/27/2007 - 08/01/2011 MERIDIAN EQUITY PARTNERS, INC. (CRD#:133849) NEW YORK, NY
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 10/04/2004 - 11/28/2007 ROBERT G. PEARS & CO., INC. (CRD#:32215) NEW YORK, NY
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 03/05/2007 - 06/01/2007 Z&Z SECURITIES INC. (CRD#:44377) NEW YORK, NY
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 05/17/2001 - 10/07/2004 MONACO BROKERAGE CORPORATION (CRD#:33151) NEW YORK, NY
B
 01/03/2002 - 04/29/2002 LABRANCHE FINANCIAL SERVICES, INC. (CRD#:7432) NEW YORK, NY
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 06/14/1999 - 05/23/2001 DEUTSCHE BANC ALEX. BROWN INC. (CRD#:2525) NEW YORK, NY
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 05/21/1998 - 06/14/1999 BT ALEX. BROWN INCORPORATED (CRD#:17790) BALTIMORE, MD
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 08/22/1997 - 05/14/1998 OSCAR GRUSS & SON, INCORPORATED (CRD#:2091) NEW YORK, NY
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 03/14/1997 - 06/20/1997 NATIONAL DISCOUNT BROKERS (CRD#:27501) OMAHA, NE
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 01/30/1997 - 02/28/1997 HENDERSON BROTHERS, INC. (CRD#:2171) NEW YORK, NY
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.