William G. Ashby

T. ROWE PRICE ASSOCIATES

BALTIMORE, MD 21231

Some features on this profile are disabled

CRD#: 6906220

Professional summary

William Gordon Ashby is a registered financial advisor currently at T. ROWE PRICE ASSOCIATES, INC. located in Baltimore, Maryland and T. ROWE PRICE INVESTMENT SERVICES, INC. located in Baltimore, Maryland.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. William has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view William Gordon Ashby's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 23, 2024 - Present

T. ROWE PRICE ASSOCIATES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231

RIA

CRD#: 105496

BALTIMORE, MD

Current

February 23, 2024 - Present

T. ROWE PRICE INVESTMENT SERVICES, INC.

Office #1: 1307 Point Street, Baltimore, MD 21231

CRD#: 8348

BALTIMORE, MD

Past

January 17, 2023 - November 7, 2023

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

Berwyn, PA

Past

January 8, 2022 - January 6, 2023

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 125446

Berwyn, PA

Past

October 16, 2020 - December 31, 2021

ORION PORTFOLIO SOLUTIONS, LLC

RIA

CRD#: 107975

BERWYN, PA

Past

April 16, 2019 - October 16, 2020

BRINKER CAPITAL INC

RIA

CRD#: 111743

BERWYN, PA

Past

February 7, 2018 - November 7, 2023

BRINKER CAPITAL SECURITIES, LLC

CRD#: 38123

BERWYN, PA

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 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.

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

Maryland
(2/23/2024)

IAR

Maryland
(2/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/16/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/7/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

T. ROWE PRICE ASSOCIATES, INC.

CRD#: 105496 / SEC#: 801-856

RIA

Registered Investment Advisory firm - (3/29/1947 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

T. ROWE PRICE ASSOCIATES, INC. (3/31/2025)

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	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.

Similar Advisors

Brian Mckinney

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Gary Williams

COMMONWEALTH FINANCIAL NETWORK

IAR

Columbia, MD

Lawrence Leitch

LPL FINANCIAL LLC

IAR

TOWSON, MD

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William G. Ashby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Gordon Ashby's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE INVESTMENT SERVICES, INC.

ORION PORTFOLIO SOLUTIONS, LLC

ORION PORTFOLIO SOLUTIONS, LLC

ORION PORTFOLIO SOLUTIONS, LLC

BRINKER CAPITAL INC

BRINKER CAPITAL SECURITIES, LLC

Primary Firm SEC Registration

T. ROWE PRICE ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2019

Series 63

Date: 12/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 2/7/2018

FINRA

Current Firm

T. ROWE PRICE ASSOCIATES, 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 ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors