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 Clayton Rice was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2016 - October 16, 2019
SOLOMON PARTNERS SECURITIES, LLC
March 7, 2012 - March 16, 2016
TUDOR PICKERING HOLT & CO ADVISORS LP
April 6, 2011 - March 16, 2016
TUDOR, PICKERING, HOLT & CO. SECURITIES, LLC
April 1, 2004 - March 2, 2011
BERENSON & COMPANY, LLC
January 7, 2002 - March 15, 2004
CREDIT AGRICOLE SECURITIES (USA) INC.
November 3, 2000 - November 5, 2001
CREDIT SUISSE SECURITIES (USA) LLC
May 23, 1996 - November 5, 2001
PERSHING LLC
November 2, 1993 - April 8, 1996
CREDIT SUISSE SECURITIES (USA) 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
Current Firm
SOLOMON PARTNERS SECURITIES, LLC
CRD#: 28041 / SEC#: , 8-43369
Contact information
FINRA licenses (34 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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