Andrew La Fontaine
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.
Andrew La Fontaine, CIMA®, who also goes by Andrew Highton La Fontaine, Andrew La Fontaine, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2015. Andrew had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2019 - July 19, 2023
T. ROWE PRICE ASSOCIATES, INC.
October 11, 2018 - March 6, 2019
T. ROWE PRICE ADVISORY SERVICES, INC.
December 12, 2017 - October 10, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
May 3, 2017 - October 26, 2017
STEBEN & COMPANY, LLC
March 21, 2016 - March 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 10, 2015 - March 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2015 - November 23, 2015
M&T SECURITIES, INC.
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
Current 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.
