Swabeera Uus
Professional summary
Swabeera Uus, who also goes by Swabi Uus, Swabeera Wali, Swabeera Wells, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Swabeera is registered as a RR (Registered Representative) and started their career in finance in 1985. Swabeera has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Swabeera Uus's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 21, 2017 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231April 3, 2007 - November 6, 2017
EAGLE GLOBAL ADVISORS LLC
November 17, 2004 - January 18, 2007
AIM PRIVATE ASSET MANAGEMENT
October 14, 2004 - January 18, 2007
INVESCO DISTRIBUTORS, INC.
October 30, 2000 - November 8, 2001
INVESCO DISTRIBUTORS, INC.
February 17, 1999 - October 6, 2000
FUND MANAGEMENT COMPANY
November 19, 1998 - December 11, 1998
FUND MANAGEMENT COMPANY
October 27, 1998 - November 19, 1998
INVESCO DISTRIBUTORS, INC.
September 4, 1996 - July 21, 1998
CALVERT INVESTMENT DISTRIBUTORS, INC.
March 7, 1996 - August 19, 1996
WEISS CAPITAL SECURITIES, INC.
April 25, 1994 - June 2, 1994
GRUNTAL & CO., L.L.C.
November 19, 1985 - December 17, 1992
THE ADVISORS GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
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