Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Albert? Claim Your ProfileAlbert Rice has been in the securities industry for over 29 years and is currently registered with UBS Securities LLC. Albert has a long history of experience in the financial services industry, having worked at several prominent firms including Credit Suisse Securities (USA) LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Bear, Stearns & Co. Inc. Albert holds FINRA Series 7, 63, 86, and 87 licenses and is registered in all 50 states, District of Columbia, and Puerto Rico.
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.
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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2
NY
09/25/2023 - Present
UBS Securities LLC (NEW YORK NY)
NY
10/27/2017 - 09/25/2023
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
04/10/2012 - 09/08/2017
UBS SECURITIES LLC (NEW YORK NY)
NY
02/26/2010 - 04/04/2012
SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)
NY
08/13/2008 - 02/22/2010
SOLEIL SECURITIES CORPORATION (NEW YORK NY)
NY
02/01/1999 - 08/22/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/28/1996 - 02/12/1999
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
04/18/1995 - 03/21/1996
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NY
05/13/1992 - 04/25/1995
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 01/10/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 06/30/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 05/11/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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