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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amy? Claim Your ProfileAmy Rosen Rice has been in the financial services industry since 2005. Amy is currently a registered representative at Wells Fargo Clearing Services, LLC. She has a strong background in financial planning and portfolio management, and holds the Series 6, 7, and 63 licenses as well as the SIE exam. In addition, Amy is also a Series 65 licensed investment adviser. Prior to joining Wells Fargo Clearing Services, LLC, Amy worked at Morgan Stanley and BB&T Securities. Amy is dedicated to providing her clients with personalized financial advice and guidance to help them reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
VA
12/19/2016 - Present
Wells Fargo Clearing Services, LLC (RICHMOND VA)
VA
05/13/2014 - 12/20/2016
MORGAN STANLEY (RICHMOND VA)
VA
09/12/2011 - 05/05/2014
BB&T SECURITIES, LLC (RICHMOND VA)
VA
09/09/2011 - 01/02/2013
SCOTT & STRINGFELLOW, LLC (RICHMOND VA)
VA
11/16/2009 - 08/19/2011
DAVENPORT & COMPANY LLC (RICHMOND VA)
VA
08/12/2005 - 11/13/2009
CAPITAL BROKERAGE CORPORATION (RICHMOND VA)
IA
Issued 10/21/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2011
Series 7 - General Securities Representative Examination
BC
Issued 08/11/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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