Kevin S. Shamblin
Professional summary
Kevin Scott Shamblin is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1993. Kevin has worked at 12 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kevin Scott Shamblin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2023 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117July 28, 2021 - June 8, 2023
HARTFORD FUNDS DISTRIBUTORS, LLC
January 20, 2021 - July 6, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
January 2, 2013 - December 31, 2020
MML DISTRIBUTORS, LLC
January 1, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
May 27, 2004 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
August 27, 2002 - April 30, 2004
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 2, 2002 - August 29, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 8, 2000 - August 29, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 14, 1996 - September 1, 2000
UNITED BROKERAGE SERVICES, INC
May 19, 1994 - January 17, 1996
INVESTMENT AFFILIATE, INC.
August 13, 1993 - April 7, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 16, 1993 - June 1, 1993
PRINCIPAL SECURITIES, 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
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Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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