FR
Frank P. Rice
CIBC WORLD MARKETS
New York, NY 10017
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CRD#: 1972699
FR
Professional summary
Frank Patrick Rice is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in New York, New York.
Frank is registered as a RR (Registered Representative) and started their career in finance in 1991. Frank has worked at 6 firms and has passed the Series 63, Series 72, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Frank Patrick Rice's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 20, 2023 - Present
CIBC WORLD MARKETS CORP.
Office #1: 300 Madison Avenue Sixth Floor, New York, NY 10017BD
CRD#: 630
New York, NY
Past
January 5, 2021 - July 5, 2023
CASTLEOAK SECURITIES, LP
BD
CRD#: 125334
NEW YORK, NY
Past
September 30, 1993 - October 10, 2019
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
January 19, 1993 - September 30, 1993
DEUTSCHE BANK CAPITAL CORPORATION
BD
CRD#: 5323
NEW YORK, NY
Past
August 24, 1992 - September 30, 1993
DEUTSCHE BANK GOVERNMENT SECURITIES, INC
BD
CRD#: 23179
Past
February 21, 1991 - May 22, 1992
DISCOUNT CORPORATION OF NEW YORK
BD
CRD#: 19757
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/20/2023)
RR
Alaska(7/20/2023)
RR
Arizona(7/20/2023)
RR
Arkansas(7/20/2023)
RR
California(7/20/2023)
RR
Colorado(7/20/2023)
RR
Connecticut(7/20/2023)
RR
Delaware(7/20/2023)
RR
District of Columbia(7/20/2023)
RR
Florida(7/20/2023)
RR
Georgia(7/20/2023)
RR
Hawaii(7/20/2023)
RR
Idaho(7/20/2023)
RR
Illinois(7/20/2023)
RR
Indiana(7/20/2023)
RR
Iowa(7/20/2023)
RR
Kansas(7/20/2023)
RR
Kentucky(7/20/2023)
RR
Louisiana(7/20/2023)
RR
Maine(7/20/2023)
RR
Maryland(7/20/2023)
RR
Massachusetts(7/20/2023)
RR
Michigan(7/20/2023)
RR
Minnesota(7/20/2023)
RR
Mississippi(7/20/2023)
RR
Missouri(7/20/2023)
RR
Montana(7/20/2023)
RR
Nebraska(7/20/2023)
RR
Nevada(7/20/2023)
RR
New Hampshire(7/20/2023)
RR
New Jersey(7/20/2023)
RR
New Mexico(7/20/2023)
RR
New York(7/20/2023)
RR
North Carolina(7/20/2023)
RR
North Dakota(7/20/2023)
RR
Ohio(7/20/2023)
RR
Oklahoma(7/20/2023)
RR
Oregon(7/20/2023)
RR
Pennsylvania(7/20/2023)
RR
Puerto Rico(7/20/2023)
RR
Rhode Island(7/20/2023)
RR
South Carolina(7/20/2023)
RR
South Dakota(7/20/2023)
RR
Tennessee(7/20/2023)
RR
Texas(7/20/2023)
RR
Utah(7/20/2023)
RR
Vermont(7/20/2023)
RR
Virginia(7/20/2023)
RR
Washington(7/20/2023)
RR
West Virginia(7/20/2023)
RR
Wisconsin(7/20/2023)
RR
Wyoming(7/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CW
CIBC WORLD MARKETS CORP.
CIBC OPPENHEIMER | OPPENHEIMER & CO., INC. | CIBC WORLD MARKETS CORP. | CIBC WORLD MARKETS | CIBC OPPENHEIMER CORP.
CRD#: 630 / SEC#: , 8-18333
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Mailing Address
300 Madison Avenue Sixth Floor, New York, NY 10017
Phone number
(212) 856-4000
Established
Delaware since 07/31/1969
Firm type
Corporation
Fiscal year end
October
Firm Size
Medium
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
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.
