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Christine Mary Carolan

T. Rowe Price Investment Services, Inc.

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About Christine Mary Carolan

Christine Carolan has been in the financial services industry since May 4, 1998. Christine is currently registered with T. Rowe Price Investment Services, Inc. in California and has been registered with this firm since December 1, 2016. Before joining T. Rowe Price Investment Services, Inc. Christine was registered with MMC Securities Corp. in California. Christine holds Series 6, 7, 24, 63, and 65 licenses, as well as the SIE exam. Christine is registered to provide securities related services in all states.

Firm Information

Christine Carolan is currently registered with T. Rowe Price Investment Services, Inc.. T. Rowe Price Investment Services, Inc. is a corporation formed on June 10, 1980. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. It has one regulatory event and three arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

612

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Christine Carolan’s Registration & Firm History

CA

12/01/2016 - Present

T. Rowe Price Investment Services, Inc. (SAN FRANCISCO CA)

CA

10/25/2012 - 01/07/2016

MMC SECURITIES CORP. (SAN FRANCISCO CA)

CA

07/26/2010 - 12/31/2010

MMC SECURITIES CORP. (SAN FRANCISCO CA)

CA

12/20/1996 - 02/25/2010

T. ROWE PRICE INVESTMENT SERVICES, INC. (SAN FRANCISCO CA)

NY

01/02/1996 - 11/22/1996

BARCLAYS GLOBAL INVESTORS SERVICES (NEW YORK NY)

CA

02/22/1995 - 01/02/1996

WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)

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Licenses & Designations

IA

Issued 01/17/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 02/22/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/28/2020

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/1997

Series 7 - General Securities Representative Examination

BC

Issued 02/21/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 08/23/1993

Series 2 - Non-Member General Securities Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Christine Mary Carolan.
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