Sandra J. Rice

CETERA INVESTMENT ADVISERS LLC

SEDALIA, MO 65301

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CRD#: 2752222

Professional summary

Sandra Jean Rice is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Sedalia, Missouri and CETERA INVESTMENT SERVICES LLC located in Sedalia, Missouri.

Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Sandra has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 27 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Jean 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

January 2, 2018 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 920 Thompson Blvd, Sedalia, MO 65301

RIA

CRD#: 105644

SEDALIA, MO

Current

January 2, 2018 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 920 Thompson Blvd, Sedalia, MO 65301Office #2: 1919 Hwy 13, Higginsville, MO 64037

CRD#: 15340

Sedalia, MO

Past

July 24, 2013 - December 31, 2017

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

SEDALIA, MO

Past

July 24, 2013 - December 31, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

SEDALIA, MO

Past

July 14, 2004 - July 24, 2013

WALNUT STREET SECURITIES, INC.

RIA

CRD#: 15840

SEDALIA, MO

Past

August 1, 2003 - July 24, 2013

WALNUT STREET SECURITIES, INC.

CRD#: 15840

SEDALIA, MO

Past

April 17, 1998 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

September 8, 1997 - February 23, 1998

MERCANTILE INVESTMENT SERVICES, INC.

CRD#: 19908

ST. LOUIS, MO

Past

July 11, 1996 - September 11, 1997

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

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
(2/5/2020)

California
(5/3/2021)

Colorado
(4/9/2021)

Florida
(2/5/2020)

Georgia
(2/24/2025)

Kansas
(1/2/2018)

Louisiana
(1/12/2021)

Missouri
(1/2/2018)

IAR

Missouri
(1/2/2018)

Oklahoma
(10/22/2019)

Texas
(4/9/2021)

IAR

Texas
(1/12/2023)

Washington
(2/25/2020)

West Virginia
(3/25/2024)

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 65

Date: 3/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/24/2003

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/16/2002

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 27

Date: 5/23/2002

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/3/2001

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

Sandra J. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sandra Jean Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

MERCANTILE INVESTMENT SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2002

Series 63

Date: 7/9/1996

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/22/2001

Series 6

Date: 6/26/1996

Series 10

Date: 3/24/2003

Series 9

Date: 12/16/2002

Series 27

Date: 5/23/2002

Series 24

Date: 12/3/2001

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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