Kristine O. 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.
Kristine Ouida Rice, who also goes by Kristine Ouida Ragsdale, Kristine Ragsdale, was a registered financial professional .
Kristine is a previously registered financial professional and started their career in finance in 2004. Kristine had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2009 - November 1, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 27, 2007 - January 2, 2009
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 29, 2005 - May 31, 2007
CHARLES SCHWAB & CO., INC.
July 6, 2005 - July 12, 2005
CHASE INVESTMENT SERVICES CORP.
March 14, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 20, 2004 - July 23, 2004
ESSEX NATIONAL SECURITIES, LLC
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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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