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BR

Brian A. Rice

Some features on this profile are disabled
CRD#: 3063334
BR

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.

Brian Andrew Rice was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 28, 2016 - February 2, 2018

TOD'S POINT CAPITAL LLC

BD
CRD#: 149691
OLD GREENWICH, CT
Past

January 10, 2012 - January 7, 2016

NEXBANK SECURITIES INC

BD
CRD#: 133267
NEW YORK, NY
Past

October 5, 2011 - January 4, 2012

N.A. INVESTCORP LLC

BD
CRD#: 134162
NEW YORK, NY
Past

April 8, 2010 - October 3, 2011

N.A. INVESTCORP LLC

BD
CRD#: 134162
NEW YORK, NY
Past

August 13, 2009 - March 26, 2010

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
NEW YORK, NY
Past

May 3, 2005 - October 17, 2007

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY
Past

November 8, 2002 - April 18, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

August 16, 2001 - October 21, 2002

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

January 13, 2001 - July 23, 2001

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 23, 2000 - January 13, 2001

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/10/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2006
General Securities Principal Examination

Current Firm

TP
TOD'S POINT CAPITAL LLC
MODUS INTERNATIONAL LLC | TOD'S POINT CAPITAL LLC

CRD#: 149691 / SEC#: , 8-68173

BD
Terminated by SEC on 02/04/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 01/21/2009
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TOD'S POINT CAPITAL HOLDING COMPANY LLCSOLE MEMBER
DALEY, RICHARD ANTHONYPRESIDENT / COO2242011
RICE, DAVID CHARLESCCO5574821
TECOTZKY, MARK IRACEO1656046
WRIGHT, JENNIFER LARACFO/ FINOP3118457

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.

Company Information

TOD'S POINT CAPITAL LLC

CRD#: 149691

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