Frederick S. 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.
Frederick Shank Rice was a registered financial advisor .
Frederick is a previously registered financial advisor and started their career in finance in 1970. Frederick had worked at 9 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 2004 - July 1, 2004
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - July 1, 2004
VOYA FINANCIAL ADVISORS, INC.
January 9, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 8, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
December 15, 1999 - January 7, 2003
FSC SECURITIES CORPORATION
April 2, 1992 - December 14, 1999
LOCUST STREET SECURITIES, INC.
August 27, 1991 - April 6, 1992
INVESTORS SECURITY COMPANY, INC.
August 29, 1990 - September 16, 1991
HOMESTEAD CAPITAL CORPORATION
November 9, 1989 - December 10, 1990
NEW ENGLAND SECURITIES
January 16, 1988 - October 17, 1989
NATIONWIDE INVESTMENT SERVICES CORPORATION
November 13, 1986 - September 7, 1990
VALLEY NATIONAL INVESTMENTS, INC.
August 24, 1970 - November 10, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 1
Date: 4/14/1969
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
