Jonathan Limm

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CRD#: 5507279

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.

Jonathan Limm, who also goes by Jon Limm, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2008. Jonathan had worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Limm

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 7, 2009 - August 10, 2012

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

OWINGS MILLS, MD

Past

January 5, 2009 - August 10, 2012

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Past

July 10, 2008 - September 26, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

COLUMBIA, MD

Past

June 11, 2008 - September 26, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

COLUMBIA, MD

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 6/10/2008

General Securities Representative Examination

Current Firm

T. ROWE PRICE ADVISORY SERVICES, INC.

CRD#: 108958 / SEC#: 801-58098

RIA

Registered Investment Advisory firm - (11/17/2000 Approved)

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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

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

T. ROWE PRICE RETIREMENT ADVISORY SERVICE BROCHURE (10/3/2025)

T. ROWE PRICE ADVISORY SERVICES, INC. (5/9/2025)

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	Cover Page	Report
01/27/2025	Cover Page	Report
10/27/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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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Jonathan Limm

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

T. ROWE PRICE ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2008

Series 7

Date: 6/10/2008

Current Firm

T. ROWE PRICE ADVISORY SERVICES, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

T. ROWE PRICE ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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