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Swabeera Uus

T. Rowe Price Investment Services, Inc.

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About Swabeera Uus

Swabeera Uus is a financial advisor who is currently registered with T. Rowe Price Investment Services, Inc. Swabeera has been working in the financial industry since 1992. Swabeera has experience with a variety of financial firms, including A I M Distributors, Inc., FUND MANAGEMENT COMPANY, Calvert Distributors, Inc., Weiss Funds, Inc., Gruntal & Co. Incorporated, and Calvert Securities Corporation. Swabeera holds a Series 63 and Series 65 licenses and has successfully passed the General Securities Principal Examination (Series 24), the Securities Industry Essentials Examination (SIE), and the General Securities Representative Examination (Series 7).

Firm Information

Swabeera Uus is currently registered with T. Rowe Price Investment Services, Inc.. T. Rowe Price Investment Services, Inc. is a corporation formed on June 10, 1980. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. It has one regulatory event and three arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

612

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Swabeera Uus’s Registration & Firm History

MD

11/21/2017 - Present

T. Rowe Price Investment Services, Inc. (BALTIMORE MD)

TX

10/14/2004 - 01/18/2007

A I M DISTRIBUTORS, INC. (HOUSTON TX)

TX

10/30/2000 - 11/08/2001

A I M DISTRIBUTORS, INC. (HOUSTON TX)

TX

02/17/1999 - 10/06/2000

FUND MANAGEMENT COMPANY (HOUSTON TX)

NA

11/19/1998 - 12/11/1998

FUND MANAGEMENT COMPANY

TX

10/27/1998 - 11/19/1998

A I M DISTRIBUTORS, INC. (HOUSTON TX)

MD

09/04/1996 - 07/21/1998

CALVERT DISTRIBUTORS, INC. (BETHESDA MD)

FL

03/07/1996 - 08/19/1996

WEISS FUNDS, INC. (JUPITER FL)

NY

04/25/1994 - 06/02/1994

GRUNTAL & CO. INCORPORATED (NEW YORK NY)

MD

11/19/1985 - 12/17/1992

CALVERT SECURITIES CORPORATION (BETHESDA MD)

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Licenses & Designations

BC

Issued 08/22/2006

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 09/29/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/24/2018

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/21/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Swabeera Uus.
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