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Sergio David Ruiz

T. Rowe Price Associates, Inc.

Baltimore, MD

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Current Employers
T. Rowe Price Associates, Inc.

1307 Point Street, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2020-08-24
  • MD RA
    APPROVED
    Since 2020-08-24

Branch Locations

1307 Point Street, Baltimore, MD 21231 • 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
Newfound Research, Llc Boston MA 09/2015 04/2017
Northern Lights Distributors, Llc Omaha NE 10/2015 04/2017
T Rowe Price Owings Mills MD 05/2018 Present
Unemployed Rockville MD 05/2017 04/2018
  • 09/2015 → 04/2017
    Newfound Research, Llc
    Boston, MA
  • 10/2015 → 04/2017
    Northern Lights Distributors, Llc
    Omaha, NE
  • 05/2018 → Present
    T Rowe Price
    Owings Mills, MD
  • 05/2017 → 04/2018
    Unemployed
    Rockville, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-21
S63 Uniform Securities Agent State Law Examination 2007-11-14
  • S66 Uniform Combined State Law Examination
    2020-08-21
  • S63 Uniform Securities Agent State Law Examination
    2007-11-14
Other Names
  • Sergio David Ruiz Lemus
  • Ruiz David Sergio

View on SEC IAPD

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