Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher harvey? Claim Your ProfileChristopher Harvey Rice is a financial advisor registered with UBS Financial Services Inc. Christopher has been in the industry since October 1991. Christopher has previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and BANC OF AMERICA INVESTMENT SERVICES, INC.. Christopher holds Series 3, 7, 9, 10, 63, and 65 licenses.
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
NC
02/28/2011 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
10/23/2009 - 02/04/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
09/24/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHARLOTTE NC)
NY
02/16/1996 - 09/27/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 02/07/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
10/01/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/24/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/30/1991
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
Not sure Christopher harvey Rice is the right advisor for you? Invested Better is here to help.
