KL
Katie S. Lawther
T. ROWE PRICE ASSOCIATES
Colorado Springs, CO 80920
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CRD#: 5032422
KL
Professional summary
Katie Sarah Lawther, who also goes by Katie Sarah Lawther, is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Colorado Springs, Colorado and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Colorado Springs, Colorado.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Katie has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Sarah Lawther
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.
(1) Name of Business: Charmed Kate Address: 49050 Calle Flora, La Quinta, CA, 92253, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 11/01/2021 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Arts and Supplies online etsy store. Creating and supplying for the online store. Selling handmade/homemade items.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Sarah Lawther'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
July 11, 2024 - Present
T. ROWE PRICE ASSOCIATES, INC.
Office #1: 2220 Briargate Parkway Financial Center Two, Colorado Springs, CO 80920RIA
CRD#: 105496
Colorado Springs, CO
Current
July 11, 2024 - 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
June 25, 2010 - May 31, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Ontario, CA
Past
January 8, 2010 - May 31, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Ontario, CA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
Registered Investment Advisory firm - (3/29/1947 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(7/11/2024)
RR
Alaska(7/11/2024)
RR
Arizona(7/11/2024)
RR
Arkansas(7/11/2024)
RR
California(7/11/2024)
IAR
California(7/11/2024)
RR
Colorado(7/11/2024)
IAR
Colorado(7/11/2024)
RR
Connecticut(7/11/2024)
RR
Delaware(7/11/2024)
RR
District of Columbia(7/11/2024)
RR
Florida(7/11/2024)
RR
Georgia(7/11/2024)
RR
Hawaii(7/11/2024)
RR
Idaho(7/11/2024)
RR
Illinois(7/11/2024)
RR
Indiana(7/11/2024)
RR
Iowa(7/11/2024)
RR
Kansas(7/11/2024)
RR
Kentucky(7/11/2024)
RR
Louisiana(7/11/2024)
RR
Maine(7/11/2024)
RR
Maryland(7/11/2024)
RR
Massachusetts(7/11/2024)
RR
Michigan(7/11/2024)
RR
Minnesota(7/11/2024)
RR
Mississippi(7/11/2024)
RR
Missouri(7/11/2024)
RR
Montana(7/11/2024)
RR
Nebraska(7/11/2024)
RR
Nevada(7/11/2024)
RR
New Hampshire(7/11/2024)
RR
New Jersey(7/11/2024)
RR
New Mexico(7/11/2024)
RR
New York(7/11/2024)
RR
North Carolina(7/11/2024)
RR
North Dakota(7/11/2024)
RR
Ohio(7/11/2024)
RR
Oklahoma(7/11/2024)
RR
Oregon(7/11/2024)
RR
Pennsylvania(7/11/2024)
RR
Puerto Rico(7/11/2024)
RR
Rhode Island(7/11/2024)
RR
South Carolina(7/11/2024)
RR
South Dakota(7/11/2024)
RR
Tennessee(7/11/2024)
RR
Texas(7/11/2024)
RR
Utah(7/11/2024)
RR
Vermont(7/11/2024)
RR
Virgin Islands(7/11/2024)
RR
Virginia(7/11/2024)
RR
Washington(7/11/2024)
RR
West Virginia(7/11/2024)
RR
Wisconsin(7/11/2024)
RR
Wyoming(7/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ASSOCIATES, INC.
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
RIA
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Contact information
Main Address
1307 Point Street, Baltimore, MD 21231
Mailing Address
Phone number
(410) 345-2000
Established
Firm type
Fiscal year end
# of Employees
3,947
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,924 |
| AUM (Assets Under Management) | $ 1,934,233,243,730 |
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.
Company Information
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496Colorado Springs, CO 80920TRUST BUT VERIFY
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