Dale Q. Rice

DALE Q. RICE INVESTMENT MANAGEMENT

VANCOUVER, WA 98685

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CRD#: 2394106

Professional summary

Dale Quintin Rice is a registered financial advisor currently at DALE Q. RICE INVESTMENT MANAGEMENT located in Vancouver, Washington.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Dale has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

INSURANCE SALES; INVESTMENT-RELATED; 10000 NE 7th Avenue, #215, VANCOUVER, WA; INSURANCE; INSURANCE AGENT; 09/30/2010; APPROXIMATELY 5 HRS/MO DURING TRADING HOURS; SALES OF VARIOUS INSURANCE PRODUCTS. RICE RENOVATIONS, LLC, NON INVESTMENT RELATED, 2109 NW 138th St, VANCOUVR, WA; OWNER; 2018; APPROXIMATELY 5 HRS/MO DURING TRADING HOURS; HOME RENOVATIONS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Quintin Rice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 1, 2020 - Present

DALE Q. RICE INVESTMENT MANAGEMENT

Office #1: 10000 Ne 7th Avenue, #215, Vancouver, WA 98685

RIA

CRD#: 310614

VANCOUVER, WA

Past

July 6, 2016 - October 2, 2020

MARINER ADVISOR NETWORK

RIA

CRD#: 283824

Vancouver, WA

Past

October 4, 2010 - July 6, 2016

STRATEGIC WEALTH ADVISORS GROUP

RIA

CRD#: 140977

VANCOUVER, WA

Past

September 30, 2010 - October 8, 2020

LPL FINANCIAL LLC

CRD#: 6413

VANCOUVER, WA

Past

October 31, 2005 - October 4, 2010

OSAIC SERVICES, INC.

CRD#: 133763

VANCOUVER, WA

Past

August 12, 1999 - December 23, 2010

DALE Q RICE INVESTMENT ADVISOR LTD

RIA

CRD#: 116253

VANCOUVER, WA

Past

February 5, 1999 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

August 3, 1998 - February 8, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

September 7, 1993 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DALE Q. RICE INVESTMENT MANAGEMENT

DALE Q. RICE INVESTMENT MANAGEMENT | DALE Q. RICE INVESTMENT MANAGEMENT, LTD.

CRD#: 310614 / SEC#: 801-123463

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

Washington

Registered Investment Advisory firm - (4/25/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/13/2022)

IAR

Washington
(10/1/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/17/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/3/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/28/1999

General Securities Principal Examination

Current Firm

DALE Q. RICE INVESTMENT MANAGEMENT

DALE Q. RICE INVESTMENT MANAGEMENT | DALE Q. RICE INVESTMENT MANAGEMENT, LTD.

CRD#: 310614 / SEC#: 801-123463

RIA

Registered Investment Advisory firm - (3/17/2022 Approved)

Washington

Registered Investment Advisory firm - (4/25/2022 Terminated)

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Contact information

Main Address

10000 Ne 7th Avenue, #215, Vancouver, WA 98685

Mailing Address

Phone number

(360) 693-7577

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM BROCHURE (3/13/2025)

FORM ADV PART 2A (3/13/2025)

Regulatory assets under management

Total Number of Accounts	265
AUM (Assets Under Management)	$ 132,567,332

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.

Contact information

xxxxx@xxxx.xxx

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Dale Q. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Quintin Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARINER ADVISOR NETWORK

STRATEGIC WEALTH ADVISORS GROUP

LPL FINANCIAL LLC

OSAIC SERVICES, INC.

DALE Q RICE INVESTMENT ADVISOR LTD

SUNAMERICA SECURITIES, INC.

IFMG SECURITIES, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

Primary Firm SEC Registration

DALE Q. RICE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/14/1999

Series 63

Date: 9/17/1993

SIE

Date: 10/1/2018

Series 7

Date: 9/3/1993

Series 24

Date: 5/28/1999

Current Firm

DALE Q. RICE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DALE Q. RICE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Contact information

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