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JM

Julia M. Mazzola

T. ROWE PRICE INVESTMENT SERVICES
BALTIMORE, MD 21231
Some features on this profile are disabled
CRD#: 4064588
JM

Professional summary

Julia Mae Mazzola, who also goes by Julia M.k. Bender, Julia Mae Bender, Julia M. K. Mazzola, Julia Mae K. Mazzola, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Julia is registered as a RR (Registered Representative) and started their career in finance in 2000. Julia has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 86, Series 87, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julia M.k. Bender | Julia Mae Bender | Julia M. K. Mazzola | Julia Mae K. Mazzola

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Julia Mae Mazzola's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 5, 2022 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231
BD
CRD#: 8348
BALTIMORE, MD
Past

December 7, 2011 - December 20, 2012

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
BALTIMORE, MD
Past

June 28, 2005 - December 14, 2009

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
PORTLAND, ME
Past

July 5, 2002 - May 23, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 13, 2001 - June 26, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

November 30, 2000 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

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
Maryland
(12/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/21/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 3/29/2005
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/2/2005
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 11/21/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/29/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/12/2023
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T. ROWE PRICE ASSOCIATES, INC.SHAREHOLDER
BROWN, ANNE WHITESCARVERVICE PRESIDENT/DIRECTOR2396529
COYNE, TIMOTHY JOHNDIRECTOR2096849
HERR, DAVID JVICE PRESIDENT/DIRECTOR7659903
KORENMAN, PHILLIPPRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD4531831
MUMFORD, STEPHANIE PETERSVICE PRESIDENT/CCO2725261
NEWMAN, CHRISTOPHER CUDDYVICE PRESIDENT/DIRECTOR2037516
NYCE, BRITTONVICE PRESIDENT/CONTROLLER7313600

Disclosures

Regulatory Event1
Arbitration3

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#: 8348Baltimore, MD 21231

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