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AR

Amy H. Rice

OCM INVESTMENTS
Los Angeles, CA 90071
Some features on this profile are disabled
CRD#: 4684949
AR

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.

Amy is registered as a RR (Registered Representative) and started their career in finance in 2003. Amy has worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ann Rice

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) - BD

Click below to view Amy Haney 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 29, 2025 - Present

OCM INVESTMENTS, LLC

Office #1: 333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
BD
CRD#: 128803
Los Angeles, CA
Past

September 3, 2003 - July 20, 2005

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/29/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/12/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/2/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OI
OCM INVESTMENTS, LLC
OCM INVESTMENTS, LLC

CRD#: 128803 / SEC#: , 8-66176

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

Main Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Mailing Address
333 South Grand Avenue (28th Floor), Los Angeles, CA 90071
Phone number
(213) 830-6300
Established
Delaware since 08/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OAKTREE CAPITAL MANAGEMENT, L.P.MANAGING MEMBER106793
EDWARDS, JOHN BREWERFINOP/CFO4714451
TOOMEY, MICHAEL PATRICKCCO4482914
TREFZ, MICHAEL CONSTANTINECHIEF EXECUTIVE OFFICER3144335

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.

Company Information

OCM INVESTMENTS, LLC

CRD#: 128803Los Angeles, CA 90071

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