Stephanie P. Mumford
Professional summary
Stephanie Peters Mumford, who also goes by Stephanie Ann Peters, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Peters Mumford's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2013 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117October 19, 1998 - May 21, 2002
LPL FINANCIAL LLC
June 14, 1996 - September 21, 1998
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/15/2013)
Exams
Series 52TO
Date: 1/2/2023
Municipal 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
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