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LS

Leon Stewart

T. ROWE PRICE INVESTMENT SERVICES
Owings Mills, MD 21117
Some features on this profile are disabled
CRD#: 2476274
LS

Professional summary

Leon Stewart is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.

Leon is registered as a RR (Registered Representative) and started their career in finance in 1994. Leon has worked at 15 firms and has passed the Series 65, Series 63, Series 52TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Leon Stewart'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

May 23, 2022 - 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

July 19, 2019 - March 18, 2022

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

September 25, 2015 - July 22, 2019

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

April 12, 2011 - September 8, 2015

STANCORP INVESTMENT ADVISERS, INC.

RIA
CRD#: 110228
INDEPENDENCE, OH
Past

April 11, 2011 - September 8, 2015

STANCORP EQUITIES, INC.

BD
CRD#: 19517
INDEPENDENCE, OH
Past

June 18, 2010 - March 29, 2011

FINANCIAL TELESIS INC

BD
CRD#: 31012
BEECHWOOD, OH
Past

March 16, 2010 - June 7, 2010

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
DUBLIN, OH
Past

May 16, 2008 - December 31, 2008

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
CLEVELAND, OH
Past

March 7, 2008 - December 31, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
CLEVELAND, OH
Past

January 1, 2008 - February 29, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

August 17, 2005 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
COVINGTON, KY
Past

May 27, 2004 - July 28, 2005

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

April 1, 2004 - June 3, 2004

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

May 14, 1999 - April 15, 2003

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 28, 1998 - May 14, 1999

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

June 23, 1995 - May 22, 1996

KEY CLEARING CORP.

BD
CRD#: 37595
BROOKLYN, OH
Past

March 3, 1995 - March 23, 1995

KEY INVESTMENTS INC.

BD
CRD#: 15873
CLEVELAND, OH
Past

June 27, 1994 - March 3, 1995

SOCIETY INVESTMENTS, INC.

BD
CRD#: 17656

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
(5/23/2022)
RR
Alaska
(5/23/2022)
RR
Arizona
(5/23/2022)
RR
Arkansas
(5/23/2022)
RR
California
(5/23/2022)
RR
Colorado
(5/23/2022)
RR
Connecticut
(5/23/2022)
RR
Delaware
(5/23/2022)
RR
District of Columbia
(5/23/2022)
RR
Florida
(5/23/2022)
RR
Georgia
(5/23/2022)
RR
Hawaii
(5/23/2022)
RR
Idaho
(5/23/2022)
RR
Illinois
(5/23/2022)
RR
Indiana
(5/23/2022)
RR
Iowa
(5/23/2022)
RR
Kansas
(5/23/2022)
RR
Kentucky
(5/23/2022)
RR
Louisiana
(5/23/2022)
RR
Maine
(5/23/2022)
RR
Maryland
(5/23/2022)
RR
Massachusetts
(5/23/2022)
RR
Michigan
(5/23/2022)
RR
Minnesota
(5/23/2022)
RR
Mississippi
(5/23/2022)
RR
Missouri
(5/23/2022)
RR
Montana
(5/23/2022)
RR
Nebraska
(5/23/2022)
RR
Nevada
(5/23/2022)
RR
New Hampshire
(5/23/2022)
RR
New Jersey
(5/23/2022)
RR
New Mexico
(5/23/2022)
RR
New York
(5/23/2022)
RR
North Carolina
(5/23/2022)
RR
North Dakota
(5/23/2022)
RR
Ohio
(5/24/2022)
RR
Oklahoma
(5/23/2022)
RR
Oregon
(5/23/2022)
RR
Pennsylvania
(5/23/2022)
RR
Puerto Rico
(5/23/2022)
RR
Rhode Island
(5/23/2022)
RR
South Carolina
(5/23/2022)
RR
South Dakota
(5/23/2022)
RR
Tennessee
(5/23/2022)
RR
Texas
(5/23/2022)
RR
Utah
(5/23/2022)
RR
Vermont
(5/23/2022)
RR
Virgin Islands
(5/23/2022)
RR
Virginia
(5/23/2022)
RR
Washington
(5/23/2022)
RR
West Virginia
(5/23/2022)
RR
Wisconsin
(5/23/2022)
RR
Wyoming
(5/23/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/23/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/8/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/24/1994
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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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