Sonia M. Doupe
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.
Sonia Marie Doupe, who also goes by Sonia Marie Brostrom, Sonia M Doupe, Sonia M Spurr, was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 2002. Sonia had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2017 - September 28, 2020
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 3, 2016 - March 28, 2017
USAA FINANCIAL ADVISORS, INC.
September 26, 2002 - June 16, 2015
T. ROWE PRICE INVESTMENT SERVICES, INC.
July 17, 2002 - August 14, 2002
AMERICAN CENTURY INVESTMENT SERVICES INC.
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 INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
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.
