Jerry J. Rice
Professional summary
Jerry Jason Rice was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerry is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Jerry had worked at 4 firms, which includes WAMU INVESTMENTS INC., CITICORP INVESTMENT SERVICES, CAL FED INVESTMENTS, WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2007 - July 31, 2008
WAMU INVESTMENTS, INC.
August 30, 2007 - July 31, 2008
WAMU INVESTMENTS, INC.
May 9, 2005 - September 5, 2006
CITICORP INVESTMENT SERVICES
February 5, 2003 - September 5, 2006
CITICORP INVESTMENT SERVICES
October 24, 2002 - February 5, 2003
CAL FED INVESTMENTS
September 28, 2000 - September 16, 2002
WADDELL & REED
September 20, 2000 - September 16, 2002
WADDELL & REED
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
Current Firm
WAMU INVESTMENTS, INC.
CRD#: 599 / SEC#: , 8-3641
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WASHINGTON MUTUAL BROKERAGE HOLDINGS, INC. | DIRECT OWNER | |
| CECILIO, ROBERT MARC | DIRECTOR, PRESIDENT, CHIEF ADMINISTRATIVE OFFICER | 1539928 |
| CHABOT, ALAN JAMES | DIRECTOR | 2617874 |
| HENRY, J. CHRISTOPHER | DIRECTOR | 5591455 |
| PERSONS, AARON MATTHEW | FIRST VICE PRESIDENT | 2216151 |
| RHEE, LISA HAMMOND | FINOP | 3251733 |
| WILBURN, DOUGLAS FREDERICK | SENIOR VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 18 |
Red Flags
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