Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rice is a financial advisor with over 18 years of experience in the financial services industry. David is currently registered with LPL Financial LLC and has been with them since December 2019. Prior to LPL Financial LLC, David was with SWBC Investment Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., AMSOUTH INVESTMENT SERVICES, INC., FIRST UNION BROKERAGE SERVICES, INC., and SIGNATOR INVESTORS, INC. David specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and retirement plans. He holds a variety of licenses and certifications including the Series 6, 7, 63, and 65. David is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Consulting and other non-discretionary advisory services
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.
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2
FL
12/05/2019 - Present
LPL Financial LLC (JACKSONVILLE FL)
FL
01/09/2012 - 12/04/2019
SWBC INVESTMENT SERVICES, LLC (JACKSONVILLE FL)
FL
03/12/2010 - 01/03/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
FL
03/19/2008 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (JACKSONVILLE FL)
AL
06/22/2000 - 08/15/2002
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
NC
02/22/1999 - 06/29/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MA
11/17/1997 - 02/08/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
IA
Issued 05/06/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/25/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/18/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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