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Nicholas S. Rice

CPS FINANCIAL & INSURANCE SERVICES
IRVINE, CA 92606
Some features on this profile are disabled
CRD#: 6548273
NR

Professional summary

Nicholas Sargent Rice, who also goes by Nicholas Sargent Rice, is a registered financial professional currently at CPS FINANCIAL & INSURANCE SERVICES, INC. located in Irvine, California.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2016. Nicholas has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas Sargent 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 Nicholas Sargent Rice'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

August 13, 2021 - Present

CPS FINANCIAL & INSURANCE SERVICES, INC.

Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606
BD
CRD#: 41243
IRVINE, CA
Past

October 18, 2017 - November 19, 2019

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Hartford, CT
Past

October 3, 2016 - February 14, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WEST HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/13/2021)
RR
Connecticut
(8/13/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/3/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CPS FINANCIAL & INSURANCE SERVICES, INC.
CPS FINANCIAL & INSURANCE SERVICES, INC. | CPS FINANCIAL SERVICES, INC.

CRD#: 41243 / SEC#: , 8-49337

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

Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606
Phone number
(949) 442-7519
Established
California since 04/01/1996
Firm type
Corporation
Fiscal year end
March
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

Direct owners and executive officers

NamePositionCRD#
ANDREW A. HOLDEN FAMILY TRUSTOWNER
FAXON, REYHEENA MARIAFINOP4219599
GANDY, MATTHEW AUSTINPRINCIPAL7007855
HOLDEN, ANDREW ALANPRESIDENT, CCO, AMLCP, CFO & TRUSTEE3098455

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

CPS FINANCIAL & INSURANCE SERVICES, INC.

CRD#: 41243Irvine, CA 92606

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