Stephanie Mumford


Chief Compliance Officer

T. Rowe Price


Stephanie Mumford is the chief compliance officer of T. Rowe Price Investment Services, Inc., and T. Rowe Price Advisory Services, Inc. within the Legal/Compliance Division of T. Rowe Price. In this role, Stephanie provides guidance related to broker/dealer activities regarding distribution of mutual funds and 529 plans as well as brokerage accounts. Additionally, she provides investment advisory guidance on retail activities such as electronic tools including robo advice and advisory planning services. Prior to joining T. Rowe Price in 2013, Stephanie served as special counsel for the Securities and Exchange Commission (SEC) in the Division of Trading and Markets. She previously held the position of senior counsel in SEC’s Office of Compliance Inspections and Examinations. Before her experience at the SEC, Stephanie worked at the Financial Industry Regulatory Authority (FINRA) as counsel in FINRA’s Market Regulation Department. In addition, she previously held compliance positions at Linsco/Private Ledger and The Vanguard Group. Stephanie received her B.A. from Washington and Jefferson College, her M.B.A. from Clemson University and her J.D. from the University of San Diego School of Law. She is a Series 4, 7, 24, and 53 registered representative and is a member of the New York State Bar Association.


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