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RP

Richard J. Piazza

T. ROWE PRICE INVESTMENT SERVICES
Owings Mills, MD 21117
CRD#: 2150818
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RP
Richard J PiazzaT. ROWE PRICE INVESTMENT SERVICES

Professional summary

Richard J Piazza, who also goes by Richard John Piazza Sr, Richard John Piazza, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard John Piazza Sr | Richard John Piazza

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard J Piazza's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 17, 2026 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117
BD
CRD#: 8348
Owings Mills, MD
Past

November 14, 2024 - June 9, 2026

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 15, 2012 - December 16, 2014

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WESLEY CHAPEL, FL
Past

March 1, 2010 - September 26, 2024

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
TAMPA, FL
Past

March 10, 2009 - January 27, 2010

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

March 4, 1996 - March 9, 2009

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
TAMPA, FL
Past

June 11, 1991 - September 30, 1991

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/17/2026)
RR
Alaska
(6/17/2026)
RR
Arizona
(6/17/2026)
RR
Arkansas
(6/17/2026)
RR
California
(6/17/2026)
RR
Colorado
(6/17/2026)
RR
Connecticut
(6/17/2026)
RR
Delaware
(6/17/2026)
RR
District of Columbia
(6/17/2026)
RR
Florida
(6/17/2026)
RR
Georgia
(6/17/2026)
RR
Hawaii
(6/17/2026)
RR
Idaho
(6/17/2026)
RR
Illinois
(6/17/2026)
RR
Indiana
(6/17/2026)
RR
Iowa
(6/17/2026)
RR
Kansas
(6/17/2026)
RR
Kentucky
(6/17/2026)
RR
Louisiana
(6/17/2026)
RR
Maine
(6/17/2026)
RR
Maryland
(6/17/2026)
RR
Massachusetts
(6/17/2026)
RR
Michigan
(6/17/2026)
RR
Minnesota
(6/17/2026)
RR
Mississippi
(6/17/2026)
RR
Missouri
(6/17/2026)
RR
Montana
(6/17/2026)
RR
Nebraska
(6/17/2026)
RR
Nevada
(6/17/2026)
RR
New Hampshire
(6/17/2026)
RR
New Jersey
(6/17/2026)
RR
New Mexico
(6/17/2026)
RR
New York
(6/17/2026)
RR
North Carolina
(6/17/2026)
RR
North Dakota
(6/17/2026)
RR
Ohio
(6/17/2026)
RR
Oklahoma
(6/17/2026)
RR
Oregon
(6/17/2026)
RR
Pennsylvania
(6/17/2026)
RR
Puerto Rico
(6/17/2026)
RR
Rhode Island
(6/17/2026)
RR
South Carolina
(6/17/2026)
RR
South Dakota
(6/17/2026)
RR
Tennessee
(6/17/2026)
RR
Texas
(6/17/2026)
RR
Utah
(6/17/2026)
RR
Vermont
(6/17/2026)
RR
Virgin Islands
(6/17/2026)
RR
Virginia
(6/17/2026)
RR
Washington
(6/17/2026)
RR
West Virginia
(6/17/2026)
RR
Wisconsin
(6/17/2026)
RR
Wyoming
(6/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/1/1996
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
T. ROWE PRICE INVESTMENT SERVICES, INC.
ROWE PRICE MARKETING, INC. | T. ROWE PRICE MARKETING, INC. | T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348 / SEC#: , 8-25130

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
Loading...

Contact information

Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
1307 Point Street, Baltimore, MD 21231
Phone number
(410) 345-2000
Established
Maryland since 06/10/1980
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T. ROWE PRICE ASSOCIATES, INC.SHAREHOLDER
BROWN, ANNE WHITESCARVERVICE PRESIDENT/DIRECTOR2396529
COYNE, TIMOTHY JOHNDIRECTOR2096849
HERR, DAVID JVICE PRESIDENT/DIRECTOR7659903
KORENMAN, PHILLIPPRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD4531831
MUMFORD, STEPHANIE PETERSVICE PRESIDENT/CCO2725261
NEWMAN, CHRISTOPHER CUDDYVICE PRESIDENT/DIRECTOR2037516
NYCE, BRITTONVICE PRESIDENT/CONTROLLER7313600

Disclosures

Regulatory Event1
Arbitration3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348Owings Mills, MD 21117

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