linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Donald Rice

Rice Financial Products Co.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Donald Rice

James Donald Rice is a financial professional with over 30 years of experience in the securities industry. James is currently registered with Rice Financial Products Co. and holds a variety of licenses and certifications, including Series 7, 24, 50, 52TO, 53, 79TO, 99TO, and SIE. James has previously worked at BT Securities Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James has a broad understanding of the securities industry and is committed to providing his clients with high-quality financial advice.

Firm Information

James Rice is currently registered with Rice Financial Products Co.. Rice Financial Products Co. is a Limited Liability Company formed in June 2009. The company is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

10

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Rice’s Registration & Firm History

TN

09/17/1998 - Present

Rice Financial Products Co. (NASHVILLE TN)

MD

12/08/1992 - 05/21/1993

BT SECURITIES CORPORATION (BALTIMORE MD)

NY

10/22/1985 - 07/16/1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

Not sure if James Donald Rice is right for you?

Licenses & Designations

BC

Issued 09/16/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 01/06/1999

Series 24 - General Securities Principal Examination

BC

Issued 12/17/1998

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/15/2017

Series 50 - Municipal Advisor Representative Qualification Exam

BC

Issued 09/16/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for James Donald Rice.
Not sure if James Donald Rice is right for you?