James A. Rice
Professional summary
James Andrew Rice, who also goes by James Andrew Rice, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Boston, Massachusetts and FIDELITY BROKERAGE SERVICES LLC located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1990. James has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Andrew Rice's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2011 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210January 26, 2011 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 245 Summer Street, Boston, MA 02210October 14, 2020 - Present
FIDELITY DISTRIBUTORS COMPANY LLC
Office #1: 245 Summer Street, Boston, MA 02210August 27, 2007 - April 13, 2010
NATIONAL FINANCIAL SERVICES LLC
November 10, 1999 - October 28, 2005
FIDELITY BROKERAGE SERVICES LLC
October 29, 1990 - November 10, 1999
FIDELITY DISTRIBUTORS COMPANY 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
(1/26/2011)
(1/6/2016)
(1/5/2016)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507 / SEC#: , 8-35097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | STOCKHOLDER | |
| ACKERMAN, CHARLES ALLAN | DIRECTOR | 2168517 |
| ADAMS, ROBERT | COO | 1291582 |
| GUSTAFSON, DALTON | PRESIDENT/DIRECTOR | 2439305 |
| HAGGERTY, MARK A | EXECUTIVE VICE PRESIDENT/DIRECTOR | 4347837 |
| KAVANAUGH, NATALIE ANN | CHIEF LEGAL OFFICER | |
| MCGINTY, JOHN JR. | CHIEF COMPLIANCE OFFICER | 5560420 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 17 |
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.
Company Information
FIDELITY DISTRIBUTORS COMPANY LLC
CRD#: 17507Boston, MA 02210TRUST BUT VERIFY
Monitor James Rice
Get automatic monthly alerts on:
