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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Craig Rice is a financial advisor with over 20 years of experience in the industry. James has been with Morgan Stanley since 2009 and is registered to provide investment advice in Washington, Texas, and several other states. James's career began at Lynott Securities, Inc. in 1984, where James gained experience in the direct participation programs and other areas. James's primary focus is on providing portfolio management for individuals, businesses, and investment companies. James can also provide financial planning, pension consulting, educational seminars, and selection of other advisors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
06/01/2009 - Present
Morgan Stanley (Bellevue WA)
WA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BELLINGHAM WA)
WA
10/28/2002 - 04/02/2007
MORGAN STANLEY DW INC. (BELLINGHAM WA)
NA
06/22/1984 - 03/14/1986
LYNOTT SECURITIES, INC.
BOTH
Issued 10/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/31/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 09/24/2002
Series 7 - General Securities Representative Examination
BC
Issued 06/21/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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