Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Nancy Shayhua Bong
NANCY S BONG, NANCY SHAYHUA BONG
CRD#: 4437208
IA
Investment Adviser
B
Broker
T. ROWE PRICE ASSOCIATES, INC.CRD#: 105496 Garden City, NY
T. ROWE PRICE INVESTMENT SERVICES, INC.CRD#: 8348 Garden City, NY
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2008 - 2015 (6 years)2 FIRMS2021 - Present (3 years)BVAN ECK SECURITIES CORPORATION (CRD# 2269)2019 - 2021 (2 years)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2015 - 2019 (3 years)BGOLDMAN, SACHS & CO. (CRD# 361)2001 - 2005 (3 years)
License(s)

State Registrations

B
Alabama 9/17/2021
B
Nebraska 9/22/2021
B
Alaska 10/7/2021
B
Nevada 9/24/2021
B
Arizona 9/23/2021
B
New Hampshire 9/30/2021
B
Arkansas 9/17/2021
B
New Jersey 9/17/2021
B
California 9/17/2021
B
New Mexico 9/20/2021
B
Colorado 9/17/2021
B
New York 9/17/2021
B
Connecticut 9/17/2021
IA
New York 9/17/2021
B
Delaware 9/17/2021
B
North Carolina 9/17/2021
B
District of Columbia 9/22/2021
B
North Dakota 9/27/2021
B
Florida 9/20/2021
B
Ohio 9/17/2021
B
Georgia 9/20/2021
B
Oklahoma 9/17/2021
B
Hawaii 9/20/2021
B
Oregon 9/17/2021
B
Idaho 9/17/2021
B
Pennsylvania 9/20/2021
B
Illinois 9/20/2021
B
Puerto Rico 9/17/2021
B
Indiana 9/21/2021
B
Rhode Island 9/19/2021
B
Iowa 9/22/2021
B
South Carolina 9/17/2021
B
Kansas 9/17/2021
B
South Dakota 9/17/2021
B
Kentucky 9/21/2021
B
Tennessee 9/20/2021
B
Louisiana 9/20/2021
B
Texas 9/17/2021
B
Maine 9/17/2021
B
Utah 9/17/2021
IA
Maryland 9/17/2021
B
Vermont 9/17/2021
B
Maryland 9/20/2021
B
Virgin Islands 9/24/2021
B
Massachusetts 9/20/2021
B
Virginia 9/22/2021
B
Michigan 9/21/2021
B
Washington 9/20/2021
B
Minnesota 9/20/2021
B
West Virginia 10/4/2021
B
Mississippi 9/17/2021
B
Wisconsin 9/21/2021
B
Missouri 9/17/2021
B
Wyoming 9/20/2021
B
Montana 9/17/2021

SRO Registrations

B
 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)
B
T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348)
Garden City, NY
Registered with this firm since 9/17/2021
IA
T. ROWE PRICE ASSOCIATES, INC. (CRD#:105496)
Garden City, NY
Registered with this firm since 9/17/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/27/2019 - 06/11/2021 VAN ECK SECURITIES CORPORATION (CRD#:2269) NEW YORK, NY
B
 04/06/2015 - 03/05/2019 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) NEW YORK, NY
IA
 08/08/2008 - 03/25/2015 NEUBERGER BERMAN LLC (CRD#:2908) NEW YORK, NY
B
 08/08/2008 - 03/25/2015 NEUBERGER BERMAN LLC (CRD#:2908) NEW YORK, NY
IA
 11/07/2007 - 08/08/2008 NEUBERGER BERMAN MANAGEMENT INC. (CRD#:5493) NEW YORK, NY
B
 11/07/2007 - 08/08/2008 NEUBERGER BERMAN MANAGEMENT INC. (CRD#:5493) NEW YORK, NY
IA
 10/24/2007 - 11/07/2007 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 09/17/2007 - 11/07/2007 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 10/04/2001 - 06/07/2005 GOLDMAN, SACHS & CO. (CRD#:361) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.