Stephanie Mumford has been Chief Compliance Officer of T. Rowe Price Advisory Services since March 2018, is a control person of the firm and directly owns under 5% of it.
T. Rowe Price Advisory Services, Inc. is an Owings Mills, MD firm with $5.9B under management, 13,517 clients and 66 advisers across 2 offices, as of its August 2026 filing.
No adviser firm registrations are on Stephanie Mumford’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 2 June 1997 |
| Series 53 | Municipal Securities Principal Examination | 15 April 1997 |
| Series 24 | General Securities Principal Examination | 5 February 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 July 1996 |
| Series 7 | General Securities Representative Examination | 13 June 1996 |
- Name
- Compliance Officer Examination
- Name
- Municipal Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephanie Peters Mumford
- CRD
- 2725261
- Firm
- T. Rowe Price Advisory Services · CRD 108958
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Stephanie Mumford work?
Stephanie Mumford has been Chief Compliance Officer of T. Rowe Price Advisory Services, Inc. since March 2018, and is a control person of the firm.
Does Stephanie Mumford have a current investment-adviser registration?
Stephanie Mumford has a current broker registration and no current investment-adviser registration.
What exams has Stephanie Mumford passed?
Stephanie Mumford has passed 7 licensing exams: the Series 7, Series 63, Series 24, Series 53, Series 4, Series 14 and Series 52TO. The earliest, the Series 7, was passed in June 1996. FINRA credited Stephanie Mumford with the SIE, which began in October 2018.
Is Stephanie Mumford registered with FINRA?
Yes. Stephanie Mumford has a current broker registration, under CRD 2725261.
Source: FINRA BrokerCheck
How can I verify Stephanie Mumford’s record?
Search CRD 2725261 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephanie Mumford’s full registration record.
