Ted A. Rice

CPS FINANCIAL & INSURANCE SERVICES

IRVINE, CA 92606

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CRD#: 1028407

Professional summary

Ted Alden Rice JR is a registered financial professional currently at CPS FINANCIAL & INSURANCE SERVICES, INC. located in Irvine, California.

Ted is registered as a RR (Registered Representative) and started their career in finance in 1983. Ted has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ted Alden Rice JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 22, 2016 - Present

CPS FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606

CRD#: 41243

IRVINE, CA

Past

December 6, 2011 - November 13, 2014

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

LAKE ST. LOUIS, MO

Past

July 28, 2008 - December 31, 2009

OSAIC FS, INC.

CRD#: 3870

LITTLE ROCK, AR

Past

October 30, 2006 - November 20, 2008

CPS FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 41243

IRVINE, CA

Past

January 1, 2005 - July 20, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

November 15, 1999 - January 1, 2005

INTERLINK SECURITIES CORP.

CRD#: 30505

WOODLAND HILLS, CA

Past

January 14, 1997 - August 25, 2005

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

June 13, 1983 - October 16, 1996

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(4/25/2016)

California
(4/25/2016)

Exams

State Security Law Exam

Series 63

Date: 1/8/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/10/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CPS FINANCIAL & INSURANCE SERVICES, INC.

CPS FINANCIAL & INSURANCE SERVICES, INC. | CPS FINANCIAL SERVICES, INC.

CRD#: 41243 / SEC#: , 8-49337

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2860 Michelle Drive, Suite 150, Irvine, CA 92606

Mailing Address

2860 Michelle Drive, Suite 150, Irvine, CA 92606

Phone number

(949) 442-7519

Established

California since 04/01/1996

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ANDREW A. HOLDEN FAMILY TRUST	OWNER
FAXON, REYHEENA MARIA	FINOP	4219599
GANDY, MATTHEW AUSTIN	PRINCIPAL	7007855
HOLDEN, ANDREW ALAN	PRESIDENT, CCO, AMLCP, CFO & TRUSTEE	3098455

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ted A. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ted Alden Rice JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST HEARTLAND CAPITAL, INC.

OSAIC FS, INC.

CPS FINANCIAL & INSURANCE SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

INTERLINK SECURITIES CORP.

1717 CAPITAL MANAGEMENT COMPANY

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/8/1983

SIE

Date: 10/1/2018

Series 6

Date: 6/10/1983

FINRA

Current Firm

CPS FINANCIAL & INSURANCE SERVICES, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CPS FINANCIAL & INSURANCE SERVICES, INC.

TRUST BUT VERIFY

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