Troy R. Johnson

T. ROWE PRICE INVESTMENT SERVICES

BALTIMORE, MD 21231

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CRD#: 4651064

Professional summary

Troy R Johnson, who also goes by Troy Robert Johnson, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

Troy is registered as a RR (Registered Representative) and started their career in finance in 2003. Troy has worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Troy Robert Johnson

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 Troy R Johnson'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

October 16, 2024 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

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

CRD#: 8348

BALTIMORE, MD

Past

July 1, 2019 - September 3, 2024

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

December 10, 2018 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

June 18, 2015 - April 3, 2018

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

April 22, 2015 - July 10, 2015

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

December 22, 2008 - December 31, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

WALNUT CREEK, CA

Past

February 7, 2006 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

WALNUT CREEK, CA

Past

February 2, 2006 - November 30, 2011

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

February 5, 2004 - March 6, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 17, 2003 - January 5, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 17, 2003 - January 5, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

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
(10/16/2024)

Alaska
(10/16/2024)

Arizona
(10/16/2024)

Arkansas
(10/16/2024)

California
(10/16/2024)

Colorado
(10/16/2024)

Connecticut
(10/16/2024)

Delaware
(10/16/2024)

District of Columbia
(10/16/2024)

Florida
(10/16/2024)

Georgia
(10/16/2024)

Hawaii
(10/16/2024)

Idaho
(10/16/2024)

Illinois
(10/16/2024)

Indiana
(10/16/2024)

Iowa
(10/16/2024)

Kansas
(10/16/2024)

Kentucky
(10/16/2024)

Louisiana
(10/16/2024)

Maine
(10/16/2024)

Maryland
(10/16/2024)

Massachusetts
(10/16/2024)

Michigan
(10/16/2024)

Minnesota
(10/16/2024)

Mississippi
(10/16/2024)

Missouri
(10/16/2024)

Montana
(10/16/2024)

Nebraska
(10/16/2024)

Nevada
(10/16/2024)

New Hampshire
(10/16/2024)

New Jersey
(10/16/2024)

New Mexico
(10/16/2024)

New York
(10/16/2024)

North Carolina
(10/16/2024)

North Dakota
(10/16/2024)

Ohio
(10/16/2024)

Oklahoma
(10/16/2024)

Oregon
(10/16/2024)

Pennsylvania
(10/16/2024)

Puerto Rico
(10/16/2024)

Rhode Island
(10/16/2024)

South Carolina
(10/16/2024)

South Dakota
(10/16/2024)

Tennessee
(10/16/2024)

Texas
(10/16/2024)

Utah
(10/16/2024)

Vermont
(10/16/2024)

Virgin Islands
(10/16/2024)

Virginia
(10/16/2024)

Washington
(10/16/2024)

West Virginia
(10/16/2024)

Wisconsin
(10/16/2024)

Wyoming
(10/16/2024)

Exams

State Security Law Exam

Series 63

Date: 5/23/2015

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/1/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 4/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/22/2015

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 7/29/2004

Futures Managed Funds Examination

SRO Registrations

FINRA

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Troy R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Troy R Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA CAPITAL, LLC

DWS DISTRIBUTORS, INC.

QUEST CAPITAL STRATEGIES, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MORGAN STANLEY DW INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2015

Series 66

Date: 8/1/2003

SIE

Date: 4/3/2018

Series 7

Date: 4/22/2015

Series 31

Date: 7/29/2004

FINRA

Current Firm

T. ROWE PRICE INVESTMENT SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

T. ROWE PRICE INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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