Lawrence R. Rice

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CRD#: 375304

Professional summary

Lawrence Roger Rice was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Lawrence is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Lawrence had worked at 15 firms, which includes CENTAURUS FINANCIAL INC., CETERA ADVISORS LLC, CETERA INVESTMENT ADVISERS LLC, FIRST ALLIED ADVISORY SERVICES INC., FIRST ALLIED SECURITIES INC., AMERIPRISE FINANCIAL SERVICES LLC, MORGAN KEEGAN & COMPANY LLC, JANNEY MONTGOMERY SCOTT LLC, OPPENHEIMER & CO. INC., DUNCAN CAPITAL LLC, JOSEPHTHAL & CO. INC., FRONT STREET SECURITIES INC, E. F. HUTTON & COMPANY INC, DUPONT WALSTON INCORPORATED, DUPONT GLORE FORGAN INC.

Question & Answer

Are you a "fiduciary"?

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.

1. GOLD COAST WEALTH MANAGEMENT, 275 E. COMMERCIAL BLVD., LAUDERDALE BY THE SEA, FL 33308. FOR BRANDING PURPOSES ONLY-DBA. 2. SUSAN ROIG TRUST TRUSTEE; FIDUCIARY POSITION; START DATE 01/01/2008. 3. LINDA VASQUEZ TRUST; CO TRUSTEE; FIDUCIARY POSITION; START DATE 01/01/2008. 4. BREEDER, RICE SHW STABLES, NON INVESTMENT RELATED AND I SPEND APPROX. 30 MINUTES PER MONTH ON THIS 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

October 24, 2022 - February 28, 2024

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

Lauderdale by the Sea, FL

Past

October 21, 2022 - February 28, 2024

CENTAURUS FINANCIAL, INC.

CRD#: 30833

Lauderdale by the Sea, FL

Past

September 8, 2022 - October 26, 2022

CETERA ADVISORS LLC

CRD#: 10299

Lauderdale by the Sea, FL

Past

October 20, 2020 - October 26, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Lauderdale By The Sea, FL

Past

January 26, 2015 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

Lauderdale by the Sea, FL

Past

December 22, 2014 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

Lauderdale by the Sea, FL

Past

May 17, 2011 - December 26, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

POMPANO BEACH, FL

Past

May 13, 2011 - December 26, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

POMPANO BEACH, FL

Past

December 20, 2007 - May 20, 2011

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

FT. LAUDERDALE, FL

Past

April 27, 2007 - May 20, 2011

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

FT. LAUDERDALE, FL

Past

July 2, 2002 - May 4, 2007

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

FT. LAUDERDALE, FL

Past

January 2, 2002 - July 2, 2002

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

November 16, 1998 - September 22, 1999

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 30, 1995 - September 24, 1998

DUNCAN CAPITAL LLC

CRD#: 27332

NEW YORK, NY

Past

March 8, 1977 - January 2, 2002

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

December 6, 1974 - June 30, 1975

FRONT STREET SECURITIES, INC

CRD#: 6766

Past

March 18, 1974 - September 1, 1975

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

July 2, 1973 - March 20, 1974

DUPONT WALSTON, INCORPORATED

CRD#: 870

Past

September 21, 1971 - July 2, 1973

DUPONT GLORE FORGAN INC

CRD#: 1000001

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/18/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/11/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 16

Date: 5/26/1993

NYSE Supervisory Analyst Examination

General Industry/Product Exam

PC

Date: 9/6/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 9/20/1971

Registered Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/2/2023

Registered Options Principal Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 7/8/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 40

Date: 12/27/1977

Registered Principal Examination

Current Firm

CENTAURUS FINANCIAL, INC.

CRD#: 30833 / SEC#: 801-56882, 8-45185

RIA

Registered Investment Advisory firm - SEC (10/8/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

2300 E. Katella Avenue Suite 200, Anaheim, CA 92806

Mailing Address

2300 E. Katella Avenue Suite #200, Anaheim, CA 92806

Phone number

(714) 456-1790

Established

California since 08/27/1992

Firm type

Corporation

Fiscal year end

April

Firm Size

Large

# of Employees

580

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

CENTAURUS FINANCIAL, INC. FORM ADV PART 2 APPENDIX 1 (7/24/2025)

CENTAURUS FINANCIAL, INC. FORM ADV PART 2A (7/24/2025)

Direct owners and executive officers

Name	Position	CRD#
FEDERATION OF FINANCIAL SERVICES	OWNER
KREMER, STEPHEN MARK	OWNER	1188829
RUBINO, MICHAEL PETER	OWNER	1188940
DUHOVIC, JEROME VICTOR	DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER	2123754
DUHOVIC, JEROME VICTOR	CHIEF COMPLIANCE OFFICER	2123754
KING, JAMES RONALD SR	DIRECTOR/CHAIRMAN OF THE BOARD/CEO	269927
KING, PAUL J	DIRECTOR/GENERAL COUNSEL	5017845
KING, WESTLEY HAYES	DIRECTOR/PRESIDENT	2527676
LEJMAN, SHERI J	CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER

Regulatory assets under management

Total Number of Accounts	38,049
AUM (Assets Under Management)	$ 7,336,108,151

Disclosures

Regulatory Event	18
Arbitration	8

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.

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Firm Stability Insights

Lawrence R. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CENTAURUS FINANCIAL, INC.

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

JANNEY MONTGOMERY SCOTT LLC

OPPENHEIMER & CO. INC.

FIRST ALLIED SECURITIES, INC.

DUNCAN CAPITAL LLC

JOSEPHTHAL & CO., INC.

FRONT STREET SECURITIES, INC

E. F. HUTTON & COMPANY INC

DUPONT WALSTON, INCORPORATED

DUPONT GLORE FORGAN INC

Primary Firm SEC Registration

CENTAURUS FINANCIAL, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/18/2007

Series 63

Date: 11/11/1988

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 16

Date: 5/26/1993

PC

Date: 9/6/1977

Series 1

Date: 9/20/1971

Series 4

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 7/8/1993

Series 40

Date: 12/27/1977

Current Firm

CENTAURUS FINANCIAL, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

CENTAURUS FINANCIAL, INC.

TRUST BUT VERIFY

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