Kevin Y. Endo
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.
Kevin Yosaku Endo, who also goes by Kevin Yosaku Endo, Kevin Endo, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2006. Kevin had worked at 3 firms and has passed the Series 63, Series 66, SIE, Series 87, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 2020 - April 29, 2025
T. ROWE PRICE ASSOCIATES, INC.
April 23, 2020 - April 29, 2025
T. ROWE PRICE INVESTMENT SERVICES, INC.
October 27, 2008 - August 22, 2016
LPL FINANCIAL LLC
August 31, 2006 - August 22, 2016
LPL FINANCIAL LLC
Primary Firm SEC Registration
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
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 55
Date: 12/3/2009
Limited Representative-Equity Trader ExamCurrent Firm
T. ROWE PRICE ASSOCIATES, INC.
CRD#: 105496 / SEC#: 801-856
Contact information
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.
