Adam J. Rice

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CRD#: 1755868

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.

Adam Jay Rice was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 1987. Adam had worked at 13 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 26, 1997 - July 31, 2001

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

October 19, 1994 - December 4, 1997

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

May 31, 1994 - November 11, 1994

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

June 24, 1992 - June 2, 1994

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

February 25, 1992 - June 25, 1992

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

August 15, 1991 - September 6, 1991

CHESAPEAKE SECURITIES RESEARCH CORPORATION

CRD#: 14161

SEVERNA PARK, MD

Past

June 18, 1991 - August 12, 1991

BILTMORE SECURITIES, INC.

CRD#: 25023

FT. LAUDERDALE, FL

Past

December 11, 1989 - June 14, 1991

J. W. GANT & ASSOCIATES, INC.

CRD#: 7963

Past

May 13, 1989 - August 18, 1989

FIRST EAGLE, INC.

CRD#: 16509

Past

March 29, 1989 - April 1, 1989

CAPITAL FIRST SECURITIES, INC.

CRD#: 16429

Past

March 14, 1989 - April 19, 1989

BACHUS & STRATTON SECURITIES, INC.

CRD#: 17557

Past

February 13, 1989 - April 12, 1989

WINSTON-FROST SECURITIES, INC.

CRD#: 19009

Past

June 27, 1988 - February 2, 1989

AMERIMUTUAL CORPORATION

CRD#: 15573

Past

December 22, 1987 - June 28, 1988

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 1/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/19/1987

General Securities Representative Examination

Current Firm

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

Terminated by SEC on 06/11/2010

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 01/15/1986

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
GUNNALLEN HOLDINGS, INC.	SHAREHOLDER
DANIELS, KEVIN CHRISTIAN	EVP OF TRADING, CHIEF COMPLIANCE OFFICER	2041956
KRAUS, FREDERICK OSCAR JR	PRESIDENT, CFO, FINOP	1393886

Disclosures

Regulatory Event	17
Arbitration	13

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.

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Firm Stability Insights

Adam J. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHATFIELD DEAN & CO., INC.

H.J. MEYERS & CO., INC.

TAMARON INVESTMENTS, INC.

J. W. GANT & ASSOCIATES, INC.

CHESAPEAKE SECURITIES RESEARCH CORPORATION

BILTMORE SECURITIES, INC.

J. W. GANT & ASSOCIATES, INC.

FIRST EAGLE, INC.

CAPITAL FIRST SECURITIES, INC.

BACHUS & STRATTON SECURITIES, INC.

WINSTON-FROST SECURITIES, INC.

AMERIMUTUAL CORPORATION

F.D. ROBERTS SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1988

Series 7

Date: 12/19/1987

Current Firm

GUNNALLEN FINANCIAL, INC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GUNNALLEN FINANCIAL, INC

TRUST BUT VERIFY

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