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OP

Osee Pierre

RICE FINANCIAL PRODUCTS COMPANY
Houston, TX 77056
Some features on this profile are disabled
CRD#: 3275765
OP

Professional summary

Osee Pierre, who also goes by Osse Pierre, Osee Pierre, is a registered financial professional currently at RICE FINANCIAL PRODUCTS COMPANY located in Houston, Texas.

Osee is registered as a RR (Registered Representative) and started their career in finance in 2001. Osee has worked at 7 firms and has passed the Series 63, SIE and Series 52 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Osse Pierre | Osee Pierre

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) - BD

Click below to view Osee Pierre'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

May 7, 2025 - Present

RICE FINANCIAL PRODUCTS COMPANY

Office #1: 2200 Post Oak Blvd. Suite 1000, Houston, TX 77056
BD
CRD#: 21606
Houston, TX
Past

April 5, 2019 - September 28, 2020

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
CHICAGO, IL
Past

November 6, 2014 - April 1, 2019

BLAYLOCK VAN, LLC

BD
CRD#: 145317
OAKLAND, CA
Past

December 1, 2010 - January 3, 2014

M. R. BEAL & COMPANY

BD
CRD#: 22088
CHICAGO, IL
Past

September 9, 2008 - October 26, 2010

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
CHICAGO, IL
Past

June 15, 2007 - June 18, 2008

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 11, 2001 - June 29, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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: 5/24/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 52
Date: 9/10/2001
Municipal Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RF
RICE FINANCIAL PRODUCTS COMPANY
APEX PRYOR SECURITIES, A DIVISION OF RICE FINANCIAL PRODUCTS CO | RJR SECURITIES, INC. | RICE SECURITIES, LLC | RICE FINANCIAL PRODUCTS COMPANY | APEX SECURITIES, INC.

CRD#: 21606 / SEC#: , 8-39085

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4235 Hillsboro Pike Suite 300, Nashville, TN 37215
Mailing Address
3 Columbus Circle 15th Fl, New York, NY, 10019
Phone number
(212) 908-9200
Established
Delaware since 06/15/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RICE DERIVATIVE HOLDINGS, L.P.SHAREHOLDER
HACK, THOMAS CHARLESROSFP870520
NAZZARENO, KARENFINOP5813844
RICE, JAMES DONALD JRCHAIRMAN, CEO, CCO1414533

Disclosures

Regulatory Event6

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

RICE FINANCIAL PRODUCTS COMPANY

CRD#: 21606Houston, TX 77056

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