Frederick Allen Rice
Professional Summary
Frederick Allen Rice, who also goes by (iii) Frederick Allen Rice, Fred Allen Rice, was a registered financial advisor. Frederick was a previously registered financial professional and started their career in finance 2012 - 2013. Frederick had worked at 1 firm and has passed the Series 56 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
(iii) Frederick Allen Rice, Fred Allen Rice
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
RCI LIMITED PARTNERSHIP
Contact Information
Established
Illinois since 12/16/1993Firm Type
PartnershipFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, FREDERICK ALLEN III | LIMITED PARTNER | 2356421 |
| HERBSTRITT, THOMAS CONDON | CHIEF COMPLIANCE OFFICER | 4162744 |
| KIELY, JOHN JOSEPH | FINANCIAL OPERATIONS PRINCIPAL | 2862662 |
| KNOBLE, JAMES KEANE | LIMITED PARTNER | 2356424 |
| REYNOLDS, MATTHEW MARK | PROPRIETARY TRADING PRINCIPAL | 4077413 |
| RICE TRADING COMPANY | GENERAL PARTNER | — |
| RICE, FRED JR | LIMITED PARTNER | 2356423 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 56 — Proprietary Trader Qualification Examination
Passed Aug 2012Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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