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David Alan Rice

Raymond James & Associates, Inc.

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About David Alan Rice

David Alan Rice is a financial advisor with Raymond James & Associates, Inc. David has been in the industry since 2004. David is registered with FINRA and the state of Texas. David has a Series 66, Series 7 and Series 31 license and is also a Certified Financial Planner. David has previously worked at RBC Capital Markets, LLC and UBS Financial Services Inc.

Firm Information

David Rice is currently registered with Raymond James & Associates, Inc.. Raymond James & Associates, Inc. is a corporation headquartered in St. Petersburg, Florida, that was formed in February 1969. With a team of over 7,700 licensed agents, investment adviser representatives, and registered representatives, the firm manages over $433 billion in assets for a diverse clientele including high-net-worth individuals, corporations, insurance companies, pension plans, and charitable organizations. Raymond James offers a wide range of advisory services including financial planning, pension consulting, educational seminars, and portfolio management for individuals, businesses, and investment companies. The firm is registered with the Securities and Exchange Commission and is licensed to operate in all 50 states and the District of Columbia.
Raymond James & Associates, Inc.

880 CARILLON PARKWAY

ST. PETERSBURG, FL 33716

$433.81B

Assets Under Management

2,313

Total Clients

6,961

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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please see note in schedule d - miscellaneous

Please see note in schedule d - miscellaneous

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Rice’s Registration & Firm History

MA

10/19/2017 - Present

Raymond James & Associates, Inc. (PITTSFIELD MA)

MA

06/30/2009 - 08/15/2016

RBC CAPITAL MARKETS, LLC (PITTSFIELD MA)

MA

05/06/2004 - 07/22/2009

UBS FINANCIAL SERVICES INC. (SPRINGFIELD MA)

NY

07/17/2003 - 08/25/2003

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

BOTH

Issued 07/24/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/28/2003

Series 31 - Futures Managed Funds Examination

BC

Issued 07/15/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Alan Rice.
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