Jay R. 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.
Jay R Rice, who also goes by Jay Rice, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1988. Jay had worked at 8 firms and has passed the Series 66, Series 63, Series 7, Series 28, Series 4 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
October 22, 1999 - August 3, 2001
INTERMOUNTAIN FINANCIAL SERVICES, INC.
October 22, 1998 - August 2, 1999
NETWORK CAPITAL CORPORATION
May 7, 1998 - October 26, 1998
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
May 10, 1994 - May 20, 1998
AMERICAN INVESTMENT SERVICES, INC.
October 28, 1993 - May 10, 1994
BIRCHTREE FINANCIAL SERVICES LLC
June 4, 1990 - November 11, 1993
UBS FINANCIAL SERVICES INC.
October 27, 1988 - June 19, 1990
CITIGROUP GLOBAL MARKETS INC.
May 26, 1988 - October 3, 1988
PIPER SANDLER & CO.
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
Series 28
Date: 8/14/1999
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
INTERMOUNTAIN FINANCIAL SERVICES, INC.
CRD#: 15386 / SEC#: , 8-32109
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
