Christi C. Powitzky
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christi Carol Powitzky, who also goes by Christi Carol James, Christi James, Christi Carol Janczak, was a registered financial professional .
Christi is a previously registered financial professional and started their career in finance in 1998. Christi had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 2018 - June 7, 2021
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 10, 2016 - April 26, 2017
J.P. MORGAN SECURITIES LLC
June 10, 2016 - April 26, 2017
J.P. MORGAN SECURITIES LLC
August 21, 2013 - May 18, 2016
INVESCO ADVISERS, INC.
April 2, 2010 - May 18, 2016
INVESCO DISTRIBUTORS, INC.
April 3, 2008 - October 27, 2009
FSC SECURITIES CORPORATION
May 5, 2004 - March 12, 2008
INVESCO DISTRIBUTORS, INC.
October 13, 2000 - June 27, 2003
INVESCO DISTRIBUTORS, INC.
September 16, 1998 - May 24, 1999
INVESCO CAPITAL MARKETS, 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
Exams
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
