Abbe Rice
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.
Abbe Rice, who also goes by Abbe Frances Rice, Abbe Frances Segal, was a registered financial professional .
Abbe is a previously registered financial professional and started their career in finance in 1983. Abbe had worked at 10 firms and has passed the Series 66, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - October 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2013 - October 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 16, 2013 - March 28, 2013
MORGAN STANLEY
May 31, 2011 - July 5, 2012
C. L. KING & ASSOCIATES, INC.
April 18, 2011 - May 24, 2011
REVERE SECURITIES LLC
April 1, 2009 - June 21, 2010
MURIEL SIEBERT & CO., LLC
March 19, 1992 - June 18, 2008
J.P. MORGAN SECURITIES LLC
June 28, 1991 - April 6, 1992
RBC CAPITAL MARKETS CORPORATION
July 29, 1985 - May 14, 1991
CIBC WOOD GUNDY SECURITIES CORP.
July 30, 1984 - July 24, 1985
J.P. MORGAN SECURITIES LLC
June 27, 1984 - May 9, 1991
LEHMAN BROTHERS INC.
March 23, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 4/3/2007
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
