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James Andrew Rice

Fidelity Distributors Co. LLC

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About James Andrew Rice

James Andrew Rice is a financial advisor with over 29 years of experience in the industry. James is registered with Fidelity Distributors Co. LLC, Fidelity Brokerage Services LLC, and National Financial Services LLC. James has Series 6, 7, 24, and 63 licenses and holds a SIE designation. James is registered in Massachusetts, North Carolina, and Rhode Island. James is currently located at 245 Summer Street, Boston, MA 02210.

Firm Information

James Rice is currently registered with Fidelity Distributors Co. LLC. Fidelity Distributors Co. LLC is a Limited Liability Company formed in January 2020. The firm is registered in all 50 states and the District of Columbia. It has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

137

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.

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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James Rice’s Registration & Firm History

MA

10/14/2020 - Present

Fidelity Distributors Co. LLC (BOSTON MA)

MA

08/27/2007 - 04/13/2010

NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)

RI

11/10/1999 - 10/28/2005

FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)

RI

10/29/1990 - 11/10/1999

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

BC

Issued 12/11/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/13/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/19/1995

Series 7 - General Securities Representative Examination

BC

Issued 10/26/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Andrew Rice.
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