Sean K. 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.
Sean Kevin Rice was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 1998. Sean had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - January 15, 2020
TGP SECURITIES, INC.
March 8, 2017 - June 25, 2018
CG CAPITAL MANAGEMENT, LLC
October 5, 2015 - September 6, 2017
CG CAPITAL MARKETS, LLC
February 11, 2014 - August 28, 2015
CAPITAL GUARDIAN, LLC
September 9, 2013 - January 16, 2014
STORMHARBOUR SECURITIES LP
January 3, 2013 - August 15, 2013
JVB FINANCIAL GROUP, LLC
November 3, 2010 - February 2, 2012
COVENTRY SECURITIES, LLC
March 23, 2009 - January 4, 2010
BAY CREST PARTNERS, LLC
August 1, 2007 - July 16, 2008
UBS SECURITIES LLC
July 31, 2003 - July 27, 2007
BANC OF AMERICA SECURITIES LLC
May 15, 2001 - August 1, 2003
BNP PARIBAS SECURITIES CORP.
February 12, 2001 - May 17, 2001
J.P. MORGAN SECURITIES INC.
May 1, 1998 - February 12, 2001
JPMSI
State Registrations and Notice Filings
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Exams
Current Firm
TGP SECURITIES, INC.
CRD#: 159008 / SEC#: , 8-68955
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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