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Detailed Report
Thomas Trail Neubauer Jr.
TJ Neubauer, Thomas Trail Neubauer
CRD#: 6746311
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
2017201820192020202120222023202420252026IAT. ROWE PRICE ASSOCIATES, INC. (CRD# 105496)2020 - Present (4 years)BT. ROWE PRICE INVESTMENT SERVI... (CRD# 8348)2017 - Present (7 years)
License(s)

State Registrations

B
Alabama 5/17/2017
B
Montana 5/17/2017
B
Alaska 5/17/2017
B
Nebraska 5/17/2017
B
Arizona 5/17/2017
B
Nevada 5/17/2017
B
Arkansas 5/17/2017
B
New Hampshire 5/17/2017
B
California 5/15/2017
B
New Jersey 5/17/2017
B
Colorado 5/17/2017
B
New Mexico 5/17/2017
B
Connecticut 5/17/2017
B
New York 5/17/2017
B
Delaware 5/17/2017
B
North Carolina 5/17/2017
B
District of Columbia 5/17/2017
B
North Dakota 5/17/2017
B
Florida 5/17/2017
B
Ohio 5/17/2017
B
Georgia 5/17/2017
B
Oklahoma 5/17/2017
B
Hawaii 5/17/2017
B
Oregon 5/17/2017
B
Idaho 5/17/2017
B
Pennsylvania 5/17/2017
B
Illinois 5/17/2017
B
Puerto Rico 5/17/2017
B
Indiana 5/17/2017
B
Rhode Island 5/17/2017
B
Iowa 5/17/2017
B
South Carolina 5/17/2017
B
Kansas 5/17/2017
B
South Dakota 5/17/2017
B
Kentucky 5/17/2017
B
Tennessee 5/17/2017
B
Louisiana 5/17/2017
B
Texas 5/17/2017
B
Maine 5/17/2017
B
Utah 5/17/2017
B
Maryland 5/3/2017
B
Vermont 5/17/2017
IA
Maryland 7/28/2020
B
Virgin Islands 5/17/2017
B
Massachusetts 5/17/2017
B
Virginia 5/17/2017
B
Michigan 5/17/2017
B
Washington 5/17/2017
B
Minnesota 5/17/2017
B
West Virginia 5/17/2017
B
Mississippi 5/17/2017
B
Wisconsin 5/17/2017
B
Missouri 5/17/2017
B
Wyoming 5/17/2017

SRO Registrations

B
 FINRA

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Learn about permitted activities of registered representatives

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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 7/28/2020
B
T. ROWE PRICE INVESTMENT SERVICES, INC. (CRD#:8348)
FOUR FINANCIAL CENTER 4525 PAINTERS MILL ROAD, OWINGS MILLS, MD 21117
Cockeysville, MD
Registered with this firm since 5/3/2017
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.