Matthew J. Rice

CETERA INVESTMENT ADVISERS LLC

CHARLOTTE, NC

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CRD#: 2397318

Professional summary

Matthew Jason Rice, who also goes by Matthew Rice, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Charlotte, North Carolina and CETERA WEALTH SERVICES, LLC located in Charlotte, North Carolina.

Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matthew Rice

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.

1)Matthew J Rice CPA PC~'NIR'~8022 Lancken Drive~CHARLOTTE~NC~28277~Accounting Services/Tax Preparation~Other~5/1/2010~120hrs~120hrs~WORK WITH BUSINESS OWNERS AND INDIVIDUALS TO MINIMIZE THEIR TAX LIABILITY. PREPARE BUSINESS AND PERSONAL TAX RETURNS. PREPARE TAX PLANNING SCHEDULES AND FORMS, SUBMIT COMPLETED TAX RETURNS TO CLIENT AND TAXING AUTHORITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Jason 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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

CHARLOTTE, NC

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Charlotte, NC

Past

June 15, 2020 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

CHARLOTTE, NC

Past

June 15, 2020 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Charlotte, NC

Past

September 6, 2002 - July 17, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Charlotte, NC

Past

September 6, 2002 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 6, 2002 - July 17, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Charlotte, NC

Past

August 30, 2001 - January 7, 2002

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

February 7, 2001 - February 7, 2001

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

February 7, 2001 - May 17, 2001

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

October 1, 1993 - February 15, 1994

INVESTORS ASSOCIATES, INC.

CRD#: 958

HACKENSACK, NJ

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arkansas
(9/5/2025)

Maine
(9/5/2025)

Massachusetts
(9/5/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

IAR

North Carolina
(9/5/2025)

South Carolina
(9/5/2025)

Tennessee
(9/5/2025)

Virginia
(9/5/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/11/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/23/1993

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: 2/6/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/24/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 2/19/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/9/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Matthew J. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Jason Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

KEYBANC CAPITAL MARKETS INC.

TRUSTED SECURITIES ADVISORS CORP.

INVESTORS ASSOCIATES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2001

Series 63

Date: 9/23/1993

SIE

Date: 10/1/2018

Series 7

Date: 2/6/2001

Series 10

Date: 2/24/2003

Series 9

Date: 2/19/2003

Series 24

Date: 10/9/2002

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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