Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Alexander Rice is a financial advisor who is registered with RBC Capital Markets, LLC. Steven has been in the financial services industry since December 30, 2011. Steven has a total of 40 state registrations and 22 SRO registrations. Steven is also registered in Texas as an Investment Advisor Representative (IAR). Steven is registered in 40 states to provide securities-related advice and services. In addition, Steven is registered in 2 states to provide investment advisory services. Steven has the following licenses and certifications: Series 66, Series 7, and the Securities Industry Essentials Examination (SIE). Steven is also a Certified Financial Planner and a Chartered Financial Analyst. Steven's current employment is with RBC Capital Markets, LLC. Previous employment was with T. Rowe Price Investment Services, Inc. and WRP Investments, Inc.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
05/09/2019 - Present
RBC Capital Markets, LLC (ANNAPOLIS MD)
MD
01/08/2013 - 10/23/2018
T. ROWE PRICE INVESTMENT SERVICES, INC. (BALTIMORE MD)
MD
07/28/2011 - 11/23/2012
WRP INVESTMENTS, INC. (GLEN BURNIE MD)
BOTH
Issued 11/11/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2011
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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