CW
Caroline S. Walker
T. ROWE PRICE INVESTMENT SERVICES
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 2689935
CW
Professional summary
Caroline Smyser-shaeffer Walker, who also goes by Caroline Smyser Shaeffer, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.
Caroline is registered as a RR (Registered Representative) and started their career in finance in 1996. Caroline has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Caroline Smyser Shaeffer
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.
CRS (Client Relationship Summary) - BD
Click below to view Caroline Smyser-shaeffer Walker's 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®
NoneExperience
Current
March 13, 2007 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: 1307 Point Street, Baltimore, MD 21231BD
CRD#: 8348
BALTIMORE, MD
Past
June 16, 2004 - December 13, 2006
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
BELLEVUE, WA
Past
June 16, 2004 - February 22, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BELLEVUE, WA
Past
March 17, 2003 - June 1, 2004
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
TACOMA, WA
Past
March 14, 2003 - June 1, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
November 23, 1998 - October 4, 2002
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
BALTIMORE, MD
Past
August 9, 1996 - October 23, 2002
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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(3/13/2007)
RR
Alaska(3/13/2007)
RR
Arizona(3/13/2007)
RR
Arkansas(3/13/2007)
RR
California(3/13/2007)
RR
Colorado(3/13/2007)
RR
Connecticut(3/13/2007)
RR
Delaware(3/13/2007)
RR
District of Columbia(3/13/2007)
RR
Florida(3/13/2007)
RR
Georgia(3/13/2007)
RR
Hawaii(3/13/2007)
RR
Idaho(3/13/2007)
RR
Illinois(3/13/2007)
RR
Indiana(3/13/2007)
RR
Iowa(3/13/2007)
RR
Kansas(3/13/2007)
RR
Kentucky(3/13/2007)
RR
Louisiana(3/13/2007)
RR
Maine(3/13/2007)
RR
Maryland(3/13/2007)
RR
Massachusetts(3/13/2007)
RR
Michigan(3/13/2007)
RR
Minnesota(3/13/2007)
RR
Mississippi(3/13/2007)
RR
Missouri(3/13/2007)
RR
Montana(3/13/2007)
RR
Nebraska(3/13/2007)
RR
Nevada(3/13/2007)
RR
New Hampshire(3/13/2007)
RR
New Jersey(3/13/2007)
RR
New Mexico(3/13/2007)
RR
New York(3/13/2007)
RR
North Carolina(3/13/2007)
RR
North Dakota(3/13/2007)
RR
Ohio(3/14/2007)
RR
Oklahoma(3/13/2007)
RR
Oregon(3/13/2007)
RR
Pennsylvania(3/13/2007)
RR
Puerto Rico(3/13/2007)
RR
Rhode Island(3/13/2007)
RR
South Carolina(3/13/2007)
RR
South Dakota(3/13/2007)
RR
Tennessee(3/13/2007)
RR
Texas(3/13/2007)
RR
Utah(3/13/2007)
RR
Vermont(3/13/2007)
RR
Virgin Islands(1/2/2008)
RR
Virginia(3/13/2007)
RR
Washington(3/13/2007)
RR
West Virginia(3/13/2007)
RR
Wisconsin(3/13/2007)
RR
Wyoming(3/13/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
