Paul F. 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.
Paul Franklin Rice was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 13 firms and has passed the Series 63, SIE, Series 6 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
July 24, 2014 - September 14, 2015
MORGAN STANLEY DISTRIBUTION, INC.
April 15, 2013 - April 29, 2014
BROKERTEC AMERICAS LLC
March 27, 2012 - February 4, 2013
INVESCO DISTRIBUTORS, INC.
May 31, 2011 - March 22, 2012
DWS DISTRIBUTORS, INC.
January 27, 2010 - May 31, 2011
DEAM INVESTOR SERVICES, INC.
October 11, 2006 - November 14, 2008
TREASURY BROKERAGE
January 1, 2005 - April 5, 2006
JPMORGAN DISTRIBUTION SERVICES, INC.
June 15, 2001 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
May 1, 2001 - June 15, 2001
J.P. MORGAN SECURITIES INC.
March 20, 2001 - May 1, 2001
JPMSI
November 8, 1993 - December 19, 1996
LEHMAN BROTHERS INC.
March 6, 1989 - September 23, 1993
FUNDS DISTRIBUTOR, LLC
November 2, 1987 - March 2, 1989
PROFUNDS DISTRIBUTORS, INC.
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
MORGAN STANLEY DISTRIBUTION, INC.
CRD#: 30344 / SEC#: , 8-44766
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY INVESTMENT MANAGEMENT INC. | OWNER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER AND FINOP | 7463692 |
| MCMULLEN, FREDERICK ALLEN | DIRECTOR AND TEXAS DESIGNATED PRINCIPAL | 2537409 |
| SCHOEN, SAMANTHA JANE | DIRECTOR | 7006907 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT AND DIRECTOR | 2034689 |
Red Flags
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