Jeffrey S. Proescher
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.
Jeffrey Scott Proescher was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2003. Jeffrey had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2007 - August 30, 2021
T. ROWE PRICE ADVISORY SERVICES, INC.
January 23, 2007 - August 30, 2021
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 7, 2006 - December 14, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 2006 - December 14, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2003 - March 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 29, 2003 - March 17, 2006
IDS LIFE INSURANCE COMPANY
October 29, 2003 - March 17, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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
Series 7TO
Date: 3/23/2024
General Securities Representative ExaminationCurrent Firm
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
