Barbara A. 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.
Barbara Ann Rice was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1997. Barbara had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2019 - November 14, 2019
PARNASSUS FUNDS DISTRIBUTOR, LLC
January 29, 2018 - November 14, 2019
SMEAD FUNDS DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
STERLING CAPITAL DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
January 29, 2018 - November 14, 2019
ORBIS INVESTMENTS (U.S.), LLC
January 29, 2018 - November 14, 2019
IMST DISTRIBUTORS, LLC
January 29, 2018 - November 14, 2019
FUNDS DISTRIBUTOR, LLC
January 29, 2018 - November 14, 2019
FORESIDE GLOBAL SERVICES, LLC
January 29, 2018 - November 14, 2019
FORESIDE FUNDS DISTRIBUTORS LLC
January 29, 2018 - November 14, 2019
FORESIDE FINANCIAL SERVICES, LLC
January 29, 2018 - November 14, 2019
FORESIDE ASSOCIATES, LLC
January 29, 2018 - November 14, 2019
BD COMPLIANCE SOLUTIONS, LLC
July 20, 2016 - December 31, 2022
FORESIDE FUND SERVICES, LLC
May 16, 2002 - July 24, 2012
FORESIDE DISTRIBUTION SOLUTIONS, LLC
November 26, 1997 - December 4, 2015
NAVAID FINANCIAL SERVICES, INC.
July 28, 1997 - December 31, 2000
PROVIDENT DISTRIBUTORS, 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
PARNASSUS FUNDS DISTRIBUTOR, LLC
CRD#: 15883 / SEC#: , 8-32878
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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