Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Edward Rice has been in the financial industry since 1976 and is currently registered with Morgan Stanley as a Registered Representative. Carl has been with Morgan Stanley since 2009 and has also held previous positions at Citigroup Global Markets Inc. and Lehman Brothers Inc. Carl is licensed to provide investment advice in 28 states and has passed the Series 7, Series 63, Series 65, and SIE exams. Carl specializes in portfolio management, financial planning, and asset allocation advice. Carl and Morgan Stanley provide investment services to a wide range of clients including high-net-worth individuals, insurance companies, corporations, and charitable organizations. Morgan Stanley is a large financial services firm that provides investment banking, securities brokerage, investment management, and wealth management services to individuals, institutions, and governments. Morgan Stanley has a broad client base and a wide range of investment services, including those provided to Carl’s clients. The firm provides investment advice in a variety of ways, including fixed fees, commissions, and percentage of assets.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/24/2020 - Present
Morgan Stanley (Modesto CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MODESTO CA)
NY
05/23/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/20/1976 - 01/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 03/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/18/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1977
PC - AMEX Put and Call Exam
BC
Issued 05/15/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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