Adam B. Epling
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.
Adam Bondurant Epling was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1999. Adam had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2011 - February 28, 2014
T. ROWE PRICE ADVISORY SERVICES, INC.
April 13, 2011 - February 28, 2014
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 28, 2006 - April 22, 2009
EDELMAN FINANCIAL SERVICES, LLC
February 21, 2006 - April 22, 2009
SANDERS MORRIS LLC
May 3, 2002 - January 8, 2003
METROPOLITAN LIFE INSURANCE COMPANY
May 3, 2002 - January 8, 2003
MSI FINANCIAL SERVICES, INC.
November 18, 1999 - December 3, 2001
IDS LIFE INSURANCE COMPANY
November 18, 1999 - December 3, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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 ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 |
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.
