Wayne G. Ho

T. ROWE PRICE ASSOCIATES

BALTIMORE, MD 21231

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CRD#: 4243208

Professional summary

Wayne Gwa Ho is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Baltimore, Maryland and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Wayne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Wayne has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Wayne Gwa Ho'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

August 5, 2020 - Present

T. ROWE PRICE ASSOCIATES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231

RIA

CRD#: 105496

BALTIMORE, MD

Current

August 3, 2018 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231

CRD#: 8348

BALTIMORE, MD

Past

January 4, 2010 - July 5, 2018

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

August 6, 2009 - January 8, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

AURORA, CO

Past

August 4, 2009 - January 8, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

AURORA, CO

Past

July 18, 2008 - June 3, 2009

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

December 19, 2002 - July 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

JACKSONVILLE, FL

Past

December 19, 2002 - July 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

JACKSONVILLE, FL

Past

December 20, 2001 - June 20, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

April 16, 2001 - December 12, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

T. ROWE PRICE ASSOCIATES, INC.

CRD#: 105496 / SEC#: 801-856

RIA

Registered Investment Advisory firm - (3/29/1947 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(8/3/2018)

Alaska
(8/3/2018)

Arizona
(8/3/2018)

Arkansas
(8/3/2018)

California
(8/3/2018)

Colorado
(8/3/2018)

Connecticut
(8/3/2018)

Delaware
(8/3/2018)

District of Columbia
(8/3/2018)

Florida
(8/3/2018)

Georgia
(8/3/2018)

Hawaii
(8/3/2018)

Idaho
(8/3/2018)

Illinois
(8/3/2018)

Indiana
(8/3/2018)

Iowa
(8/3/2018)

Kansas
(8/3/2018)

Kentucky
(8/3/2018)

Louisiana
(8/3/2018)

Maine
(8/3/2018)

Maryland
(8/3/2018)

IAR

Maryland
(8/5/2020)

Massachusetts
(8/3/2018)

Michigan
(8/3/2018)

Minnesota
(8/3/2018)

Mississippi
(8/3/2018)

Missouri
(8/3/2018)

Montana
(8/3/2018)

Nebraska
(8/3/2018)

Nevada
(8/3/2018)

New Hampshire
(8/3/2018)

New Jersey
(8/3/2018)

New Mexico
(8/3/2018)

New York
(8/3/2018)

North Carolina
(8/3/2018)

North Dakota
(8/3/2018)

Ohio
(8/3/2018)

Oklahoma
(8/3/2018)

Oregon
(8/3/2018)

Pennsylvania
(8/3/2018)

Puerto Rico
(8/3/2018)

Rhode Island
(8/3/2018)

South Carolina
(8/3/2018)

South Dakota
(8/3/2018)

Tennessee
(8/3/2018)

Texas
(8/3/2018)

Utah
(8/3/2018)

Vermont
(8/3/2018)

Virgin Islands
(8/3/2018)

Virginia
(8/3/2018)

Washington
(8/3/2018)

West Virginia
(8/3/2018)

Wisconsin
(8/3/2018)

Wyoming
(8/3/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/4/2020

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

T. ROWE PRICE ASSOCIATES, INC.

CRD#: 105496 / SEC#: 801-856

RIA

Registered Investment Advisory firm - (3/29/1947 Approved)

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Contact information

Main Address

1307 Point Street, Baltimore, MD 21231

Mailing Address

Phone number

(410) 345-2000

Established

Firm type

Fiscal year end

# of Employees

3,947

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

T. ROWE PRICE ASSOCIATES, INC. (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,924
AUM (Assets Under Management)	$ 1,934,233,243,730

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Firm Stability Insights

Wayne G. Ho

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wayne Gwa Ho's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE INVESTMENT SERVICES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

TRANSAMERICA CAPITAL, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE ADVISOR SERVICES, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

T. ROWE PRICE ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2020

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2001

FINRA

Current Firm

T. ROWE PRICE ASSOCIATES, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

T. ROWE PRICE ASSOCIATES, INC.

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