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Geoffrey P. Carey

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CRD#: 1046353
GC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Geoffrey Paul Carey was a registered financial professional .

Geoffrey is a previously registered financial professional and started their career in finance in 1983. Geoffrey had worked at 14 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 23, 2006 - February 12, 2021

RICE FINANCIAL PRODUCTS COMPANY

BD
CRD#: 21606
MIAMI, FL
Past

December 5, 2005 - August 15, 2006

M. R. BEAL & COMPANY

BD
CRD#: 22088
NEW YORK, NY
Past

August 17, 2005 - December 5, 2005

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

October 22, 2003 - June 16, 2005

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC
Past

October 3, 2002 - October 20, 2003

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

April 22, 1999 - September 6, 2002

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

January 1, 1999 - May 6, 1999

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 8, 1997 - December 23, 1998

BUTLER MUNI, LLC

BD
CRD#: 7389
SAN RAMON, CA
Past

May 28, 1996 - November 18, 1996

ASSOCIATED BOND BROKERS, INC.

BD
CRD#: 32114
DALLAS, TX
Past

May 18, 1995 - August 9, 1995

WOLFE & HURST BOND BROKERS INC.

BD
CRD#: 8288
JERSEY CITY, NJ
Past

October 30, 1993 - June 19, 1995

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

October 30, 1993 - June 19, 1995

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

July 1, 1987 - June 17, 1993

HARTFIELD, TITUS & DONNELLY, LLC

BD
CRD#: 7117
JERSEY CITY, NJ
Past

June 18, 1986 - June 5, 1987

G.I.M.B. MUNICIPAL SECURITIES BROKER

BD
CRD#: 16016
Past

June 20, 1983 - April 15, 1986

J.J. KENNY DRAKE, INC.

BD
CRD#: 7118

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/18/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 3/23/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 5/24/1983
Municipal Securities Representative Examination

Current Firm

RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.

CRD#: 21606 / SEC#: , 8-39085

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICE DERIVATIVE HOLDINGS, L.P.SHAREHOLDER
DEGIULO, THOMAS EDWARDROSFP2351167
NAZZARENO, KARENFINOP5813844
RICE, JAMES DONALD JRCHAIRMAN, CEO, CCO1414533

Disclosures

Regulatory Event6

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.

Company Information

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606

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