Michael Y. Rice
Professional summary
Michael Yehuda Rice, who also goes by Michael Rice, Mikel M Rice, Mo Rice, Moe Rice, Moshe Yehuda Rice, Yehuda Moshe Rice, is a registered financial professional currently at LIFESCI CAPITAL located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 15 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Yehuda Rice's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2014 - Present
LIFESCI CAPITAL
Office #1: 1700 Broadway 40th Floor, New York, NY 10019February 15, 2013 - June 24, 2014
TRIPOINT GLOBAL EQUITIES/BANQ(R)
November 2, 2010 - April 1, 2011
MD GLOBAL PARTNERS, LLC
May 14, 2007 - November 25, 2008
CANACCORD GENUITY LLC
April 20, 2005 - April 16, 2007
THINKEQUITY LLC
October 29, 2003 - March 16, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 14, 2003 - March 16, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 18, 2001 - September 16, 2003
BANC OF AMERICA SECURITIES LLC
February 1, 2000 - October 26, 2001
J.P. MORGAN SECURITIES INC.
April 23, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
April 19, 1996 - April 9, 1998
J.P. MORGAN SECURITIES LLC
September 14, 1994 - April 12, 1996
ALEX. BROWN & SONS INCORPORATED
April 8, 1994 - August 22, 1994
DABNEY/RESNICK/IMPERIAL, LLC
July 10, 1992 - March 18, 1994
SCHRODER & CO. INC.
March 29, 1989 - July 7, 1992
LEHMAN BROTHERS INC.
July 21, 1987 - April 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/27/2014)
(7/15/2014)
(1/2/2015)
(2/18/2015)
(7/31/2014)
(11/18/2014)
(3/18/2015)
(3/18/2015)
(8/20/2015)
Exams
FINRA
Nasdaq Stock Market
Current Firm
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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