JB
James V. Berguson
T. ROWE PRICE INVESTMENT SERVICES
Colorado Springs, CO 80920
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CRD#: 3104419
JB
Professional summary
James Vincent Berguson, who also goes by James V Berguson, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Colorado Springs, Colorado.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James V Berguson
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 James Vincent Berguson'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
May 1, 2017 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Financial Center One 2260 Briargate Parkway, Colorado Springs, CO 80920BD
CRD#: 8348
Colorado Springs, CO
Past
April 8, 2008 - January 7, 2017
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
October 1, 1998 - March 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LITTLETON, CO
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(5/1/2017)
RR
Alaska(5/1/2017)
RR
Arizona(5/1/2017)
RR
Arkansas(5/1/2017)
RR
California(5/1/2017)
RR
Colorado(5/1/2017)
RR
Connecticut(5/1/2017)
RR
Delaware(5/1/2017)
RR
District of Columbia(5/1/2017)
RR
Florida(5/1/2017)
RR
Georgia(5/1/2017)
RR
Hawaii(5/1/2017)
RR
Idaho(5/1/2017)
RR
Illinois(5/1/2017)
RR
Indiana(5/1/2017)
RR
Iowa(5/1/2017)
RR
Kansas(5/1/2017)
RR
Kentucky(5/1/2017)
RR
Louisiana(5/1/2017)
RR
Maine(5/1/2017)
RR
Maryland(5/1/2017)
RR
Massachusetts(5/1/2017)
RR
Michigan(4/18/2024)
RR
Minnesota(5/1/2017)
RR
Mississippi(5/1/2017)
RR
Missouri(5/1/2017)
RR
Montana(5/1/2017)
RR
Nebraska(5/1/2017)
RR
Nevada(5/1/2017)
RR
New Hampshire(5/1/2017)
RR
New Jersey(5/1/2017)
RR
New Mexico(5/1/2017)
RR
New York(5/1/2017)
RR
North Carolina(5/1/2017)
RR
North Dakota(5/1/2017)
RR
Ohio(5/1/2017)
RR
Oklahoma(5/1/2017)
RR
Oregon(5/1/2017)
RR
Pennsylvania(5/1/2017)
RR
Puerto Rico(5/1/2017)
RR
Rhode Island(5/1/2017)
RR
South Carolina(5/1/2017)
RR
South Dakota(5/1/2017)
RR
Tennessee(5/1/2017)
RR
Texas(5/1/2017)
RR
Utah(5/1/2017)
RR
Vermont(5/1/2017)
RR
Virgin Islands(5/1/2017)
RR
Virginia(5/1/2017)
RR
Washington(5/1/2017)
RR
West Virginia(5/1/2017)
RR
Wisconsin(5/1/2017)
RR
Wyoming(5/1/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348Colorado Springs, CO 80920TRUST BUT VERIFY
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