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Employer firm

T. Rowe Price Advisory Services, Inc. CRD 108958

$5.90B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
T. Rowe Price Advisory Services, Inc.

4525 Painters Mills Road, Owings Mills, MD 21117 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2022-10-07
  • CO RA
    APPROVED
    Since 2022-10-07

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
Beachfront Realty Aventura FL 02/2015 08/2018
T. Rowe Price Colorado Springs CO 08/2018 Present
  • 02/2015 → 08/2018
    Beachfront Realty
    Aventura, FL
  • 08/2018 → Present
    T. Rowe Price
    Colorado Springs, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-06
S63 Uniform Securities Agent State Law Examination 2018-11-29
  • S66 Uniform Combined State Law Examination
    2022-10-06
  • S63 Uniform Securities Agent State Law Examination
    2018-11-29
Other Names
  • Joseph Diaz
  • Joseph Diaz-Tovar
  • Jose Gabriel Diaz

View on SEC IAPD

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