Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rice is an active investment advisor representative who has been in the industry since April 23, 2016. James is currently registered with J.p. Morgan Securities LLC. James has also been previously registered with Calton & Associates, Inc., Newbridge Securities Corporation, and AXA Advisors, LLC. James has passed the Uniform Combined State Law Examination, the Securities Industry Essentials Examination, and the General Securities Representative Examination. James specializes in retirement planning, insurance, annuities, mutual funds, and variable products.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
08/08/2022 - Present
J.p. Morgan Securities LLC (LEVITTOWN NY)
FL
12/03/2019 - 12/04/2020
CALTON & ASSOCIATES, INC. (TAMPA FL)
FL
07/17/2018 - 12/03/2019
NEWBRIDGE SECURITIES CORPORATION (BOCA RATON FL)
NY
04/06/2016 - 07/23/2018
AXA ADVISORS, LLC (WOODBURY NY)
BOTH
Issued 05/27/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2016
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Rice is the right advisor for you? Invested Better is here to help.
