Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Roya E Vassell
ROYA E VASSELL, Roya Elizabeth Vassell
CRD#: 5439251
IA
Investment Adviser
B
Broker
T. ROWE PRICE ASSOCIATES, INC.CRD#: 105496 FOUR FINANCIAL CENTER
4525 PAINTERS MILL ROAD
OWINGS MILLS,, MD 21117
T. ROWE PRICE INVESTMENT SERVICES, INC.CRD#: 8348 FOUR FINANCIAL CENTER
4525 PAINTERS MILL ROAD
OWINGS MILLS, MD 21117
Registration History
20082010201220142016201820202022202420262 FIRMS2017 - 2017 (<1 year)2 FIRMS2022 - Present (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2021 - 2022 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2020 (<1 year)BPROFUNDS DISTRIBUTORS, INC. (CRD# 19541)2017 - 2020 (2 years)BPROFUNDS DISTRIBUTORS, INC. (CRD# 19541)2011 - 2017 (6 years)BNAVY FEDERAL BROKERAGE SERVICE... (CRD# 138459)2009 - 2010 (<1 year)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2008 - 2009 (1 year)
Disclosure(s)
View By:
3/29/2016
Financial
Final
License(s)

State Registrations

B
Alabama 7/7/2022
B
Montana 7/7/2022
B
Alaska 7/25/2022
B
Nebraska 7/8/2022
B
Arizona 7/25/2022
B
Nevada 7/18/2022
B
Arkansas 7/7/2022
B
New Hampshire 7/13/2022
B
California 7/6/2022
B
New Jersey 7/7/2022
B
Colorado 7/11/2022
B
New Mexico 7/8/2022
B
Connecticut 7/8/2022
B
New York 7/7/2022
B
Delaware 7/26/2022
B
North Carolina 7/8/2022
B
District of Columbia 7/11/2022
B
North Dakota 7/11/2022
B
Florida 7/8/2022
B
Ohio 7/7/2022
B
Georgia 7/15/2022
B
Oklahoma 7/11/2022
B
Hawaii 7/8/2022
B
Oregon 4/25/2024
B
Idaho 7/7/2022
B
Pennsylvania 7/8/2022
B
Illinois 7/19/2022
B
Puerto Rico 7/20/2022
B
Indiana 7/26/2022
B
Rhode Island 7/13/2022
B
Iowa 7/11/2022
B
South Carolina 7/8/2022
B
Kansas 7/7/2022
B
South Dakota 8/2/2022
B
Kentucky 7/8/2022
B
Tennessee 7/11/2022
B
Louisiana 7/11/2022
B
Texas 7/8/2022
B
Maine 7/7/2022
B
Utah 7/7/2022
B
Maryland 7/6/2022
B
Vermont 7/7/2022
IA
Maryland 9/13/2022
B
Virgin Islands 7/7/2022
B
Massachusetts 8/8/2022
B
Virginia 7/9/2022
B
Michigan 7/12/2022
B
Washington 7/7/2022
B
Minnesota 7/7/2022
B
West Virginia 7/8/2022
B
Mississippi 7/8/2022
B
Wisconsin 7/11/2022
B
Missouri 7/8/2022
B
Wyoming 7/19/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
T. ROWE PRICE ASSOCIATES, INC. (CRD#:105496)
FOUR FINANCIAL CENTER 4525 PAINTERS MILL ROAD, OWINGS MILLS,, MD 21117
Registered with this firm since 9/13/2022
B
T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348)
FOUR FINANCIAL CENTER 4525 PAINTERS MILL ROAD, OWINGS MILLS, MD 21117
North Bethesda, MD
Registered with this firm since 7/5/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/19/2021 - 06/06/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 09/09/2020 - 11/10/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) WASHINGTON, DC
B
 12/12/2017 - 07/14/2020 PROFUNDS DISTRIBUTORS, INC. (CRD#:19541) BETHESDA, MD
IA
 09/18/2017 - 10/27/2017 MORGAN STANLEY (CRD#:149777) ANNAPOLIS, MD
B
 08/16/2017 - 10/27/2017 MORGAN STANLEY (CRD#:149777) ANNAPOLIS, MD
B
 04/27/2011 - 07/11/2017 PROFUNDS DISTRIBUTORS, INC. (CRD#:19541) BETHESDA, MD
B
 09/09/2009 - 04/06/2010 NAVY FEDERAL BROKERAGE SERVICES, LLC (CRD#:138459) LAUREL, MD
B
 03/12/2008 - 07/23/2009 T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348) OWINGS MILLS, MD
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.