Rice E. Brown
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rice E Brown, who also goes by Rice Brown, was a registered financial professional .
Rice is a previously registered financial professional and started their career in finance in 1970. Rice had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 51, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2019 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
September 16, 2019 - December 31, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 2, 2019 - September 17, 2019
FORTUNE FINANCIAL SERVICES, INC.
April 23, 2010 - December 31, 2018
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
October 27, 2008 - December 31, 2019
RICE BROWN FINANCIAL SERVICES
October 20, 2006 - November 6, 2008
NEXT FINANCIAL GROUP, INC.
October 20, 2006 - May 10, 2010
NEXT FINANCIAL GROUP, INC.
December 10, 1996 - October 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 16, 1985 - December 12, 1996
NEW ENGLAND SECURITIES
August 23, 1983 - April 19, 1985
BEECROFT, COLE & COMPANY, INC.
July 15, 1975 - April 9, 1990
THE COLUMBIAN SECURITIES CORPORATION
June 8, 1970 - March 3, 1978
SARGENT ASSOCIATES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 3/12/1968
Registered Representative ExaminationSeries 00
Date: 3/15/1970
General Securities Principal ExaminationCurrent Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
