John C. 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.
John C Rice, who also goes by John Carl Rice, John Rice, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2012 - July 9, 2021
NATIONAL FINANCIAL SERVICES LLC
December 10, 2009 - November 11, 2011
PERSHING LLC
July 13, 2007 - February 13, 2009
CHARLES SCHWAB & CO., INC.
April 12, 2000 - June 19, 2007
APEX CLEARING CORPORATION
February 21, 1995 - April 6, 2000
NATIONAL FINANCIAL SERVICES LLC
August 21, 1989 - July 12, 1994
BNY CLEARING SERVICES LLC
June 5, 1985 - August 10, 1989
CITICORP FINANCIAL SERVICES,INC.
September 21, 1984 - May 8, 1985
CHARLES SCHWAB & CO., INC.
January 25, 1984 - August 31, 1984
PRUDENTIAL EQUITY GROUP, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 12/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
