GH
Grace Huaman
T. ROWE PRICE INVESTMENT SERVICES
Colorado Springs, CO 80920
Some features on this profile are disabled
CRD#: 4292439
GH
Professional summary
Grace Huaman is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Colorado Springs, Colorado.
Grace is registered as a RR (Registered Representative) and started their career in finance in 2001. Grace has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Grace Huaman'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
August 22, 2013 - 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
October 19, 2010 - June 26, 2012
STANCORP EQUITIES, INC.
BD
CRD#: 19517
SHERMAN OAKS, CA
Past
December 8, 2009 - January 14, 2010
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
February 6, 2009 - June 9, 2009
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
December 16, 2008 - February 2, 2010
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
February 15, 2006 - October 27, 2008
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
June 15, 2004 - January 10, 2006
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
July 21, 2003 - May 20, 2004
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
June 20, 2001 - July 2, 2003
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
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(11/1/2013)
RR
Alaska(11/1/2013)
RR
Arizona(11/1/2013)
RR
Arkansas(11/1/2013)
RR
California(8/23/2013)
RR
Colorado(11/1/2013)
RR
Connecticut(11/1/2013)
RR
Delaware(11/1/2013)
RR
District of Columbia(11/1/2013)
RR
Florida(11/1/2013)
RR
Georgia(11/1/2013)
RR
Hawaii(11/1/2013)
RR
Idaho(11/1/2013)
RR
Illinois(11/1/2013)
RR
Indiana(11/1/2013)
RR
Iowa(11/1/2013)
RR
Kansas(11/1/2013)
RR
Kentucky(11/1/2013)
RR
Louisiana(11/1/2013)
RR
Maine(11/1/2013)
RR
Maryland(11/1/2013)
RR
Massachusetts(11/1/2013)
RR
Michigan(11/1/2013)
RR
Minnesota(11/1/2013)
RR
Mississippi(11/1/2013)
RR
Missouri(11/1/2013)
RR
Montana(11/1/2013)
RR
Nebraska(11/1/2013)
RR
Nevada(11/1/2013)
RR
New Hampshire(11/1/2013)
RR
New Jersey(11/1/2013)
RR
New Mexico(11/1/2013)
RR
New York(11/1/2013)
RR
North Carolina(11/4/2013)
RR
North Dakota(11/1/2013)
RR
Ohio(11/1/2013)
RR
Oklahoma(11/1/2013)
RR
Oregon(11/1/2013)
RR
Pennsylvania(11/1/2013)
RR
Puerto Rico(11/1/2013)
RR
Rhode Island(11/1/2013)
RR
South Carolina(11/1/2013)
RR
South Dakota(11/1/2013)
RR
Tennessee(11/1/2013)
RR
Texas(11/1/2013)
RR
Utah(11/1/2013)
RR
Vermont(11/1/2013)
RR
Virgin Islands(11/1/2013)
RR
Virginia(11/1/2013)
RR
Washington(11/1/2013)
RR
West Virginia(11/1/2013)
RR
Wisconsin(11/1/2013)
RR
Wyoming(11/1/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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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