Amy H. Rice
Professional summary
Amy Haney Rice, who also goes by Ann Rice, is a registered financial professional currently at OCM INVESTMENTS, LLC located in Los Angeles, California and BROOKFIELD SECURITIES LLC located in New York, New York.
Amy is registered as a RR (Registered Representative) and started their career in finance in 2003. Amy has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Amy Haney Rice's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2025 - Present
OCM INVESTMENTS, LLC
Office #1: 333 South Grand Avenue (28th Floor), Los Angeles, CA 90071June 2, 2026 - Present
BROOKFIELD SECURITIES LLC
Office #1: 225 Liberty Street 8th Floor, New York, NY 10281September 3, 2003 - July 20, 2005
DEUTSCHE BANK SECURITIES 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: 8/29/2025
Investment Banking Registered Representative ExaminationFINRA
FINRA
Current Firm
BROOKFIELD SECURITIES LLC
CRD#: 327792 / SEC#: , 8-71170
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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