JR
James D. Rice
RICE FINANCIAL PRODUCTS COMPANY
Nashville, TN 37215
Some features on this profile are disabled
CRD#: 1414533
JR
Professional summary
James Donald Rice JR, who also goes by Don Rice, is a registered financial professional currently at RICE FINANCIAL PRODUCTS COMPANY located in Nashville, Tennessee.
James is registered as a RR (Registered Representative) and started their career in finance in 1985. James has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 52TO, SIE, Series 50, Series 7, Series 14, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Don Rice
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.
CRS (Client Relationship Summary) - BD
Click below to view James Donald 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®
NoneExperience
Current
September 17, 1998 - Present
RICE FINANCIAL PRODUCTS COMPANY
Office #1: Green Hills Office Suites 4235 Hillsboro Pike, Suite 300, Nashville, TN 37215BD
CRD#: 21606
Nashville, TN
Past
December 8, 1992 - May 21, 1993
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
October 22, 1985 - July 16, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(3/23/2017)
RR
Alaska(3/23/2017)
RR
Arizona(3/23/2017)
RR
Arkansas(3/23/2017)
RR
California(3/23/2017)
RR
Colorado(3/23/2017)
RR
Connecticut(3/23/2017)
RR
Delaware(3/23/2017)
RR
District of Columbia(3/23/2017)
RR
Florida(9/17/1998)
RR
Georgia(3/23/2017)
RR
Hawaii(3/23/2017)
RR
Idaho(3/23/2017)
RR
Illinois(3/23/2017)
RR
Indiana(3/23/2017)
RR
Iowa(3/23/2017)
RR
Kansas(3/23/2017)
RR
Kentucky(3/23/2017)
RR
Louisiana(3/23/2017)
RR
Maine(3/23/2017)
RR
Maryland(3/23/2017)
RR
Massachusetts(3/23/2017)
RR
Michigan(3/23/2017)
RR
Minnesota(3/23/2017)
RR
Mississippi(3/23/2017)
RR
Missouri(3/23/2017)
RR
Montana(3/23/2017)
RR
Nebraska(3/23/2017)
RR
Nevada(3/23/2017)
RR
New Hampshire(3/23/2017)
RR
New Jersey(3/23/2017)
RR
New Mexico(3/23/2017)
RR
New York(9/17/1998)
RR
North Carolina(3/28/2017)
RR
North Dakota(3/23/2017)
RR
Ohio(3/23/2017)
RR
Oklahoma(3/23/2017)
RR
Oregon(3/23/2017)
RR
Pennsylvania(3/23/2017)
RR
Puerto Rico(3/23/2017)
RR
Rhode Island(3/23/2017)
RR
South Carolina(3/23/2017)
RR
South Dakota(2/17/2017)
RR
Tennessee(8/6/2018)
RR
Texas(9/17/1998)
RR
Utah(3/23/2017)
RR
Vermont(3/23/2017)
RR
Virgin Islands(3/23/2017)
RR
Virginia(3/23/2017)
RR
Washington(3/23/2017)
RR
West Virginia(3/23/2017)
RR
Wisconsin(3/23/2017)
RR
Wyoming(3/23/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)
Disclosures
| Regulatory Event | 6 |
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.
