Amy H. Rice
Professional summary
Amy Haney Rice, who also goes by Ann Rice, is a registered financial professional currently at 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
June 2, 2026 - Present
BROOKFIELD SECURITIES LLC
Office #1: 225 Liberty Street 8th Floor, New York, NY 10281August 29, 2025 - June 5, 2026
OCM INVESTMENTS, LLC
September 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
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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