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Current Employers
T. Rowe Price Associates, Inc.

1307 Point Street, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-02-14
  • CO RA
    APPROVED
    Since 2019-02-14

Branch Locations

Financial Center Two 2220 Briargate Parkway, Colorado Springs, CO 80920 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Td Ameritrade Portland OR 04/2016 03/2018
T Rowe Price Colorado Springs CO 03/2018 Present
  • 04/2016 → 03/2018
    Td Ameritrade
    Portland, OR
  • 03/2018 → Present
    T Rowe Price
    Colorado Springs, CO
Previous Registrations
  • 2018-10-18 → 2019-02-14
    Colorado Springs, CO
  • 2016-05-31 → 2018-03-12
    Td Ameritrade, Inc.
    Portland, OR
  • 2016-06-07 → 2018-03-12
    Td Ameritrade Investment Management, Llc
    Portland, OR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-27
S63 Uniform Securities Agent State Law Examination 2015-11-02
  • S66 Uniform Combined State Law Examination
    2016-05-27
  • S63 Uniform Securities Agent State Law Examination
    2015-11-02

View on SEC IAPD

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