Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc Nicholas Rice is a financial professional with over 30 years of experience in the industry. Marc is currently registered with Oppenheimer & Co. Inc. Previously, Marc was registered with CIBC World Markets CORP., ABN AMRO INCORPORATED, ABN AMRO SECURITIES LLC, LAZARD FRERES & CO. LLC, and KIDDER, PEABODY & CO. INCORPORATED. Marc has a wide range of experience in the financial services industry, including securities trading, investment advisory, and portfolio management. Marc is also a licensed securities principal and holds licenses in multiple states, including California, District of Columbia, Florida, Georgia, Illinois, Massachusetts, Missouri, New York, Texas, and Washington. Marc's specializations include Equity, Fixed Income, Options, Mutual Funds, Variable Annuities, and Retirement Planning.
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.
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.
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2
NY
01/14/2008 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
04/08/2002 - 01/14/2008
CIBC WORLD MARKETS CORP. (NEW YORK NY)
CT
03/01/2002 - 04/11/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
04/30/2001 - 03/01/2002
ABN AMRO SECURITIES LLC (NEW YORK NY)
CT
04/22/1998 - 04/30/2001
ABN AMRO INCORPORATED (STAMFORD CT)
NY
01/17/1995 - 05/04/1998
LAZARD FRERES & CO. LLC (NEW YORK NY)
NY
02/27/1992 - 01/25/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 03/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/01/2005
Series 3 - National Commodity Futures Examination
BC
Issued 08/11/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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