Neil E. Kays
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Neil Edwin Kays, who also goes by Neil Kays, was a registered financial professional .
Neil is a previously registered financial professional and started their career in finance in 1993. Neil had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2017 - June 11, 2021
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 9, 2012 - November 6, 2017
ARCHER DISTRIBUTORS, LLC
January 14, 2010 - June 29, 2012
NORTHERN LIGHTS DISTRIBUTORS, LLC
January 12, 2007 - January 23, 2008
STEBEN & COMPANY, LLC
September 16, 2005 - January 3, 2007
GUGGENHEIM DISTRIBUTORS, LLC
February 11, 2005 - September 29, 2005
LEGG MASON WOOD WALKER, INCORPORATED
January 31, 2005 - September 29, 2005
LEGG MASON WOOD WALKER, INCORPORATED
June 13, 2003 - July 29, 2004
EASTERN POINT ADVISORS INC.
January 6, 2003 - July 29, 2004
INVESTORS CAPITAL CORP.
May 3, 2002 - June 10, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 19, 2002 - June 10, 2002
IDS LIFE INSURANCE COMPANY
April 19, 2002 - June 10, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
May 17, 1993 - March 24, 1999
T. ROWE PRICE INVESTMENT SERVICES, 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
Series 7TO
Date: 4/1/2024
General Securities Representative ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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