Michael J. Rice
Professional summary
Michael John Rice, who also goes by Michael J Rice, Michael Rice, Mike Rice, is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2008. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael John Rice's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2023 - Present
EQUITABLE DISTRIBUTORS, LLC
Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262January 25, 2022 - June 30, 2023
LPL FINANCIAL LLC
June 20, 2018 - October 5, 2021
P.J. ROBB VARIABLE, LLC
September 30, 2016 - July 27, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 30, 2016 - July 27, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 14, 2016 - September 27, 2016
MSI FINANCIAL SERVICES, INC.
June 22, 2015 - September 27, 2016
MSI FINANCIAL SERVICES, INC.
October 15, 2009 - July 18, 2011
MSI FINANCIAL SERVICES, INC.
February 6, 2008 - July 18, 2011
MSI FINANCIAL SERVICES, 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
(1/29/2025)
(1/30/2025)
(1/28/2025)
(12/21/2023)
(2/3/2025)
(12/21/2023)
Exams
FINRA
Current Firm
EQUITABLE DISTRIBUTORS, LLC
CRD#: 25900 / SEC#: , 8-42123
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQ HOLDINGS, LLC | OWNER | |
| D'AUGUSTE, ARIELLE RACHEL | GENERAL COUNSEL | 7252573 |
| DURSO, ALFRED JOSEPH | CHIEF COMPLIANCE OFFICER | 2546771 |
| KAIS, JAMES MICHAEL | DIRECTOR | 2529327 |
| LANE, NICHOLAS BURRITT | CHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4994948 |
| SCANLON, STEPHEN CAULEY | DIRECTOR | 2219308 |
| SCAPPATOR, CANDACE LYNN | FINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 4697607 |
Disclosures
| Arbitration | 1 |
Red Flags
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