Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jay Rice is a financial professional with over 40 years of experience in the securities industry. Richard is currently a registered representative with March Capital Corp. Previously Richard was a registered representative with Rodman & Renshaw Inc. and Cedar Hill Financial Services, Inc. Richard has a broad range of experience and holds numerous licenses including Series 3, 7, 22, 24, 26, 28, 39, 42, 63, 72, 82TO, 99TO and SIE. Richard holds several professional designations. Richard's background includes a strong emphasis in portfolio management and investment advising. Richard is committed to providing personalized financial advice to help clients achieve their financial goals.
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.
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.
1
2
IL
10/29/1997 - Present
March Capital Corp. (SKOKIE IL)
IL
10/09/1990 - 12/05/1990
RODMAN & RENSHAW INC. (CHICAGO IL)
IL
02/01/1988 - 05/07/1990
CEDAR HILL FINANCIAL SERVICES, INC. (HIGHLAND PARK IL)
NA
03/14/1981 - 12/16/1987
RODMAN & RENSHAW INC.
BC
Issued 08/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/06/1996
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 04/12/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 42 - Registered Options Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1993
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
BC
Issued 03/12/1981
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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