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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Hormell Rice is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He is a registered representative and investment advisor representative in Georgia and Texas. David has been in the industry since 1987 and has a broad range of experience in providing financial advice to individuals, families, and businesses. David's specializations include retirement planning, college savings, estate planning, and investment management. He works with a variety of clients, including high-net-worth individuals, corporations, and institutions.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
GA
09/25/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAINT SIMONS ISLAND GA)
GA
09/04/1990 - 01/11/1991
THE ROBINSON-HUMPHREY COMPANY INC. (ATLANTA GA)
NY
07/29/1988 - 09/11/1990
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/26/1987 - 07/14/1988
TUCKER, ANTHONY & R. L. DAY, INC.
IA
Issued 12/06/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/29/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/13/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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