KB
Kristina M. Baumann
T. ROWE PRICE ADVISORY SERVICES
Lake Barrington, IL
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CRD#: 5405922
KB
Professional summary
Kristina M Baumann, who also goes by Kristina M Baumann, Kristina Marie Baumann, Kristina M Nieting, Kristina Marie Nieting, is a registered financial advisor currently at T. ROWE PRICE ADVISORY SERVICES, INC. located in Lake Barrington, Illinois and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Owings Mills, Maryland.
Kristina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Kristina has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kristina M Baumann | Kristina Marie Baumann | Kristina M Nieting | Kristina Marie Nieting
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.
**RIVER RIDE HOLDINGS LLC POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2024 ADDRESS: 30 North Gould Street, Suite R, Sheridan WY 82801, United States DESCRIPTION: Real estate investor company, purchasing additional properties for short term rental income.
CRS (Client Relationship Summary) - RIA
Click below to view Kristina M Baumann'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
May 5, 2025 - Present
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
Lake Barrington, IL
Current
May 5, 2025 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: Two Financial Center 4545 Painters Mill Road, Owings Mills, MD 21117BD
CRD#: 8348
Owings Mills, MD
Past
April 3, 2017 - April 8, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
LAKE BARRINGTON, IL
Past
January 1, 2012 - April 8, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DOWNERS GROVE, IL
Past
September 21, 2007 - December 31, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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 ADVISORY SERVICES, INC.
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
RIA
Registered Investment Advisory firm - (11/17/2000 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(5/5/2025)
RR
Alaska(5/5/2025)
RR
Arizona(5/5/2025)
RR
Arkansas(5/5/2025)
RR
California(5/5/2025)
RR
Colorado(5/5/2025)
RR
Connecticut(5/5/2025)
RR
Delaware(5/5/2025)
RR
District of Columbia(5/5/2025)
RR
Florida(5/5/2025)
RR
Georgia(5/5/2025)
RR
Hawaii(5/5/2025)
RR
Idaho(5/5/2025)
RR
Illinois(5/5/2025)
IAR
Illinois(5/5/2025)
RR
Indiana(5/5/2025)
RR
Iowa(5/5/2025)
RR
Kansas(5/5/2025)
RR
Kentucky(5/5/2025)
RR
Louisiana(5/5/2025)
RR
Maine(5/5/2025)
RR
Maryland(5/5/2025)
IAR
Maryland(5/5/2025)
RR
Massachusetts(5/5/2025)
RR
Michigan(5/5/2025)
RR
Minnesota(5/5/2025)
RR
Mississippi(5/5/2025)
RR
Missouri(5/5/2025)
RR
Montana(5/5/2025)
RR
Nebraska(5/5/2025)
RR
Nevada(5/5/2025)
RR
New Hampshire(5/5/2025)
RR
New Jersey(5/5/2025)
RR
New Mexico(5/5/2025)
RR
New York(5/5/2025)
RR
North Carolina(5/5/2025)
RR
North Dakota(5/5/2025)
RR
Ohio(5/5/2025)
RR
Oklahoma(5/5/2025)
RR
Oregon(5/5/2025)
RR
Pennsylvania(5/5/2025)
RR
Puerto Rico(5/5/2025)
RR
Rhode Island(5/5/2025)
RR
South Carolina(5/5/2025)
RR
South Dakota(5/5/2025)
RR
Tennessee(5/5/2025)
RR
Texas(5/5/2025)
RR
Utah(5/5/2025)
RR
Vermont(5/5/2025)
RR
Virgin Islands(5/5/2025)
RR
Virginia(5/5/2025)
RR
Washington(5/5/2025)
RR
West Virginia(5/5/2025)
RR
Wisconsin(5/5/2025)
RR
Wyoming(5/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TR
T. ROWE PRICE ADVISORY SERVICES, INC.
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
RIA
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Contact information
Main Address
4515 Painters Mills Road, Owings Mills, MD 21117
Mailing Address
Phone number
(800) 225-5132
Established
Firm type
Fiscal year end
# of Employees
86
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.
