Melody K. Rice

VERIDAN WEALTH

WEST LINN, OR 97068

Some features on this profile are disabled

CRD#: 4576732

Professional summary

Melody Kay Rice, who also goes by Melody Kay Penner, is a registered financial advisor currently at VERIDAN WEALTH located in West Linn, Oregon.

Melody is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Melody has worked at 2 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Melody Kay Penner

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) - RIA

Click below to view Melody Kay Rice'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

August 28, 2024 - Present

VERIDAN WEALTH

Office #1: 1742 Willamette Falls Dr, West Linn, OR 97068

RIA

CRD#: 329666

WEST LINN, OR

Past

July 26, 2007 - June 4, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WEST LINN, OR

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".

VERIDAN WEALTH

VERIDAN WEALTH | VERIDAN WEALTH LLC

CRD#: 329666 / SEC#: 801-130309

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Oregon
(8/28/2024)

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 65

Date: 8/28/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/28/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/25/2007

General Securities Representative Examination

Current Firm

VERIDAN WEALTH

VERIDAN WEALTH | VERIDAN WEALTH LLC

CRD#: 329666 / SEC#: 801-130309

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1742 Willamette Falls Dr, West Linn, OR 97068

Mailing Address

Phone number

(503) 946-9733

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (10/9/2025)

Regulatory assets under management

Total Number of Accounts	669
AUM (Assets Under Management)	$ 304,646,230

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.

Similar Advisors

Gregory Bowen

MARINER WEALTH

IAR

Portland, OR

Jason Lambert

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Vancouver, WA

Robert Morrison

CROSS FINANCIAL ADVISORS

IAR

Beaverton, OR

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Melody K. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Melody Kay Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

VERIDAN WEALTH

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

VERIDAN WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2024

Series 66

Date: 8/28/2007

SIE

Date: 10/1/2018

Series 7

Date: 7/25/2007

Current Firm

VERIDAN WEALTH

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VERIDAN WEALTH

TRUST BUT VERIFY

Similar Advisors