Stephanie Peters Mumford
Professional Summary
Stephanie Peters Mumford, who also goes by Stephanie Ann Peters, is a registered financial advisor currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland. Stephanie is registered as a RR (Registered Representative) and started their career in finance in 1996. Stephanie has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 14, Series 4, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephanie Ann Peters
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
Current Firm
ROWE PRICE MARKETING, INC. | T. ROWE PRICE MARKETING, INC. | T. ROWE PRICE INVESTMENT SERVICES, INC.
Contact Information
Main Address
1307 Point Street, Baltimore, MD 21231Mailing Address
1307 Point Street, Baltimore, MD 21231Phone Number
(410) 345-2000Established
Maryland since 06/10/1980Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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
1Arbitration
3Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
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.
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
State Registrations and Notice Filings
(10/15/2013)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Peters Mumford's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAMS ASSET MANAGEMENT
WILLIAMS ASSET MANAGEMENT
THE MARSHALL FINANCIAL GROUP LLC
LPL FINANCIAL LLC
