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Susan L. Nakai
T. ROWE PRICE INVESTMENT SERVICES
Colorado Springs, CO 80920
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CRD#: 4547468
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Professional summary
Susan Lee Nakai, who also goes by Susan Lee Pickering, Susan Pickering, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Colorado Springs, Colorado.
Susan is registered as a RR (Registered Representative) and started their career in finance in 2002. Susan has worked at 2 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Susan Lee Pickering | Susan Pickering
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 Susan Lee Nakai'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
December 9, 2002 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Financial Center Two 2220 Briargate Parkway, Colorado Springs, CO 80920BD
CRD#: 8348
Colorado Springs, CO
Past
August 22, 2002 - September 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(8/21/2003)
RR
Alaska(8/21/2003)
RR
Arizona(8/21/2003)
RR
Arkansas(8/21/2003)
RR
California(8/21/2003)
RR
Colorado(12/9/2002)
RR
Connecticut(8/21/2003)
RR
Delaware(8/21/2003)
RR
District of Columbia(8/21/2003)
RR
Florida(8/21/2003)
RR
Georgia(8/21/2003)
RR
Hawaii(8/21/2003)
RR
Idaho(8/21/2003)
RR
Illinois(8/21/2003)
RR
Indiana(8/21/2003)
RR
Iowa(8/21/2003)
RR
Kansas(8/21/2003)
RR
Kentucky(8/21/2003)
RR
Louisiana(8/21/2003)
RR
Maine(8/21/2003)
RR
Maryland(8/21/2003)
RR
Massachusetts(8/21/2003)
RR
Michigan(8/21/2003)
RR
Minnesota(8/21/2003)
RR
Mississippi(8/21/2003)
RR
Missouri(8/21/2003)
RR
Montana(8/21/2003)
RR
Nebraska(8/21/2003)
RR
Nevada(8/21/2003)
RR
New Hampshire(8/21/2003)
RR
New Jersey(8/21/2003)
RR
New Mexico(8/21/2003)
RR
New York(8/21/2003)
RR
North Carolina(8/25/2003)
RR
North Dakota(8/21/2003)
RR
Ohio(8/22/2003)
RR
Oklahoma(8/21/2003)
RR
Oregon(8/21/2003)
RR
Pennsylvania(8/21/2003)
RR
Puerto Rico(8/21/2003)
RR
Rhode Island(8/21/2003)
RR
South Carolina(8/21/2003)
RR
South Dakota(8/21/2003)
RR
Tennessee(8/21/2003)
RR
Texas(8/21/2003)
RR
Utah(8/21/2003)
RR
Vermont(8/21/2003)
RR
Virgin Islands(5/7/2008)
RR
Virginia(8/21/2003)
RR
Washington(8/21/2003)
RR
West Virginia(8/21/2003)
RR
Wisconsin(8/21/2003)
RR
Wyoming(8/21/2003)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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
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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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