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Employer firm

T. Rowe Price Associates, Inc. CRD 105496

$2.20T regulatory AUM 83 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
T. Rowe Price Associates, Inc.

1307 Point Street, Baltimore, MD 21231 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2019-11-20
CA RA APPROVED 2019-11-15
  • MD RA
    APPROVED
    Since 2019-11-20
  • CA RA
    APPROVED
    Since 2019-11-15

Branch Locations

Long Beach, CA • 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
Neuberger Berman Llc Long Beach CA 05/2011 09/2019
T Rowe Price Baltimore MD 11/2019 Present
  • 05/2011 → 09/2019
    Neuberger Berman Llc
    Long Beach, CA
  • 11/2019 → Present
    T Rowe Price
    Baltimore, MD
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-09
S63 Uniform Securities Agent State Law Examination 2004-10-01
  • S65 Uniform Investment Adviser Law Examination
    2005-05-09
  • S63 Uniform Securities Agent State Law Examination
    2004-10-01
Other Names
  • Jae S Kim

View on SEC IAPD

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