John T. Rice
Professional summary
John Timothy Rice SR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John Timothy Rice SR, who also goes by John Timothy Rice, Tim Rice, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1965. John had worked at 3 firms and has passed the Series 79TO, Series 57TO, Series 7TO, SIE, Series 55, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 1996 - January 11, 2024
RICE, VOELKER, LLC
June 17, 1987 - January 5, 1996
JOHNSON RICE & COMPANY L.L.C.
December 15, 1965 - June 4, 1987
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 55
Date: 3/9/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 12/11/1965
Registered Representative ExaminationSeries 40
Date: 5/8/1971
Registered Principal ExaminationCurrent Firm
RICE, VOELKER, LLC
CRD#: 39838 / SEC#: , 8-48854
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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