AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SJ

Seymour B. Joseph

RICE, VOELKER
MANDEVILLE, LA 70448
Some features on this profile are disabled
CRD#: 4746553
SJ

Professional summary

Seymour Benjamin Joseph IV, who also goes by Ben Joseph, is a registered financial advisor currently at RICE, VOELKER, LLC located in Mandeville, Louisiana.

Seymour is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Seymour has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ben Joseph

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.
INVICTUS LLC, INVESTMENT-RELATED BUSINESS; P.O. BOX 220,BUNKIE, LA 71322; THE NATURE OF THE BUSINESS IS TO INVEST IN A PRIVATE EQUITY FUND (FIRST AVENUE PARTNERS II); REPRESENTATIVE IS A PARTNER; RELATIONSHIP STARTED JULY 16, 2007; REPRESENTATIVE DEVOTES ZERO (0) HOURS TO THIS BUSINESS PER MONTH; REPRESENTATIVE DOES NOT HAVE ANY DUTIES RELATED TO THIS BUSINESS. BEN INVESTED IN USFRT KINSTON PARTNERS LP AS A LIMITED PARTNER ON DECEMBER 10,2012. THE PARTNERSHIP IS LOCATED AT 1291 US HIGHWAY 258, KINSTON, NC 28504 (252 525-6104). BEN WILL SPEND NO TIME ON THIS NON-COMPETITIVE BUSINESS. BEN ALSO WILL BE A LIMITED PARTNER IN CCSD MEZZAMINE FUND THROUGH CLARITAS CAPITAL, LOCATED AT 30 BURTON HILLS BLVD., SUITE 100, NASHVILLE, TN 37215. THEIR PHONE NUMBER IS 615 690-7184. BEN IS A PASSIVE INVESTOR IN CARTER HASTON APARTMENT FUND, LOCATED AT 3301 WEST END AVE., NASHVILLE, TN 37205 (615 279-9200). BEN WILL DEVOTE NO TIME TO THE BUSINESS AND IT IS NOT IN COMPETITION WITH RICE VOELKER. BEN IS 25% OWNER OF DAQi LLC, LOCATED AT 233 ST. ANN DR., MANDEVILLE LA 70471. BEN WILL COMMIT 0 HOURS PER WEEK IN THIS NON-COMPETITIVE BUSINESS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seymour Benjamin Joseph IV's 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

October 15, 2025 - Present

RICE, VOELKER, LLC

Office #1: 625 Girod Street, Suite B, Mandeville, LA 70448
RIA
CRD#: 39838
MANDEVILLE, LA
Past

July 23, 2025 - October 10, 2025

RICE, VOELKER, LLC

RIA
CRD#: 39838
Mandeville, LA
Past

March 8, 2007 - October 10, 2025

RICE, VOELKER, LLC

BD
CRD#: 39838
Mandeville, LA
Past

July 29, 2004 - February 2, 2007

AVONDALE PARTNERS, LLC

BD
CRD#: 46838
NASHVILLE, TN

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
Louisiana
(10/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/9/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 12/16/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/11/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 7/28/2004
General Securities Representative Examination

Current Firm

RV
RICE, VOELKER, LLC
CAERLEON CAPITAL, L.L.C. | TRACEEQUITY | RICE, VOELKER, LLC | RICE, VOELKER BROTHERS & FRANTZEN, L.L.C.

CRD#: 39838 / SEC#: , 8-48854

Louisiana
Registered Investment Advisory firm - SEC (7/24/2025 Approved)
BD
Terminated by SEC on 11/24/2025
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
625 Girod Street, Suite B, Mandeville, LA 70448
Mailing Address
Phone number
(985) 898-3477
Established
Louisiana since 10/05/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
7

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ARMAND, CORY BLAINEEXECUTIVE OFFICER/ MANAGING PARTNER4823186
JOSEPH, SEYMOUR BENJAMIN IVPARTNER4746553
LAMBERT, DALTON GRANTPARTNER2795165
PARRIE, ADAM BRIANCCO / FINOP6104343

Disclosures

Regulatory Event3

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

RICE, VOELKER, LLC

CRD#: 39838Mandeville, LA 70448

TRUST BUT VERIFY

Monitor Seymour Joseph

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

MH
Mark HappeAdvisorCheck Check Mark
VALIC FINANCIAL ADVISORS, INC.
PR
HOUSTON, TX
RA
Ramon AguirreAdvisorCheck Check Mark
MONEY CONCEPTS CAPITAL CORP
IAR
Fort Worth, TX
RN
Racquel NakataAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Honolulu, HI
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.