Peggyanne M. Rice
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.
Peggyanne Marie Rice, who also goes by Peggy Marie Summers, Peggyann Marie Summers, was a registered financial professional .
Peggyanne is a previously registered financial professional and started their career in finance in 1994. Peggyanne had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2014 - August 11, 2014
ASCENSUS FINANCIAL SERVICES, LLC.
December 9, 1994 - March 23, 2000
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ASCENSUS FINANCIAL SERVICES, LLC.
CRD#: 147257 / SEC#: , 8-67891
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
