Rodney 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.
Rodney Randolph Rice III, who also goes by Rodney Randolph Rice, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1991. Rodney had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2013 - December 31, 2013
GROVE POINT INVESTMENTS, LLC
November 18, 2003 - February 24, 2011
GROVE POINT INVESTMENTS, LLC
July 8, 2000 - November 24, 2003
OSAIC FS, INC.
October 28, 1999 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
June 5, 1997 - October 22, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 19, 1995 - October 22, 1996
INVESTORS SECURITY COMPANY, INC.
May 5, 1994 - March 8, 1995
FSC SECURITIES CORPORATION
October 13, 1992 - January 31, 1994
NYLIFE SECURITIES LLC
May 1, 1991 - December 8, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 1, 1991 - December 8, 1991
EQUITABLE ADVISORS, 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
Exams
Current Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 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.
