Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you April? Claim Your ProfileApril Lyne Rice is an investment advisor representative with UBS Financial Services Inc., working with clients in Weehawken, NJ. April has over 13 years of experience in the financial services industry and holds several licenses and certifications. She is registered with the Securities and Exchange Commission and is also registered in Illinois and Texas.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
NJ
10/14/2022 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
TX
03/04/2019 - 10/07/2022
WELLS FARGO CLEARING SERVICES, LLC (TYLER TX)
TX
12/19/2012 - 02/25/2019
MORGAN STANLEY (DALLAS TX)
TX
05/25/2009 - 11/19/2012
UBS FINANCIAL SERVICES INC. (DALLAS TX)
BOTH
Issued 12/03/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2009
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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