Paul H. Tice
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.
Paul Harry Tice was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 8 firms and has passed the Series 63, SIE, Series 16 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2017 - April 9, 2018
SCHRODER FUND ADVISORS LLC
October 9, 2015 - January 3, 2017
USCA SECURITIES LLC
March 19, 2010 - September 23, 2015
BLACKROCK INVESTMENTS, LLC
June 6, 2002 - June 4, 2008
LEHMAN BROTHERS INC.
June 7, 1999 - February 19, 2002
DEUTSCHE BANK SECURITIES INC.
August 27, 1998 - June 7, 1999
DB ALEX. BROWN LLC
July 8, 1997 - July 9, 1998
DEUTSCHE BANK SECURITIES INC.
August 12, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
August 12, 1993 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
August 12, 1993 - July 3, 1997
LEHMAN BROTHERS INC.
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
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
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