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JR

John E. Rice

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CRD#: 2221567
JR

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.

John Edward Rice, CFP® was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1992. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

top-8-questions

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.

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®
CFP®

Certified Financial Planner

Experience

Past

March 11, 2020 - November 1, 2021

CARDINAL POINT WEALTH MANAGEMENT, LLC

RIA
CRD#: 151579
Phoenix, AZ
Past

March 11, 2020 - January 4, 2022

CARDINAL POINT WEALTH MANAGEMENT

RIA
CRD#: 140619
Phoenix, AZ
Past

June 26, 2009 - June 23, 2010

KEATS CONNELLY AND ASSOCIATES INC.

RIA
CRD#: 110604
BOYNTON BEACH, FL
Past

June 26, 2009 - October 21, 2011

CROSS BORDER TAX & ACCOUNTING, LLC

RIA
CRD#: 110874
BOYNTON BEACH, FL
Past

June 26, 2009 - January 31, 2020

KEATS, CONNELLY & ASSOCIATES, INC

RIA
CRD#: 148884
PHOENIX, AZ
Past

December 6, 2007 - August 1, 2008

CROSS BORDER TAX & ACCOUNTING, LLC

RIA
CRD#: 110874
PHOENIX, AZ
Past

July 10, 2000 - May 19, 2009

KEATS CONNELLY AND ASSOCIATES INC.

RIA
CRD#: 110604
PHOENIX, AZ
Past

September 3, 1999 - May 9, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 23, 1993 - June 29, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

April 27, 1992 - November 17, 1992

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
IAR
Series 65
Date: 9/30/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/22/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/12/1994
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CP
CARDINAL POINT WEALTH MANAGEMENT, LLC
CARDINAL POINT WEALTH MANAGEMENT , LLC | CARDINAL POINT WEALTH MANAGEMENT, LLC

CRD#: 151579 / SEC#: 801-110000

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Contact information

Main Address
19200 Von Karman Ave Suite 600, Irvine, CA 92612
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

CPWM - ADV PART 2A: FIRM BROCHURE (3/9/2021)

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

CARDINAL POINT WEALTH MANAGEMENT, LLC

CRD#: 151579

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