Richard Jay Rice
Professional Summary
Richard Jay Rice is a registered financial advisor currently at MARCH CAPITAL CORP. located in Skokie, Illinois. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Richard has worked at 3 firms and has passed the Series 63, Series 82TO, Series 72, Series 42, Series 79TO, Series 99TO, Series 62, Series 6TO, SIE, Series 3, Series 7, Series 22, Series 39, Series 26,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
ANGELSTREET SECURITIES, INC. | MARCH CAPITAL CORP. | GRANT SECURITIES, L.P. | GLENWOOD SECURITIES CORP.
Contact Information
Main Address
200 E Randolph St Suite 5100, Chicago, IL 60601Mailing Address
200 E Randolph St Suite 5100, Chicago, IL 60601-6528Phone Number
(312) 443-8404Established
Illinois since 09/05/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
4FINRA licenses (26 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICE, RICHARD JAY | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 725697 |
Regulatory Assets Under Management
Total Number of Accounts
4AUM (Assets Under Management)
$82,394,518Similar Advisors
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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.
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State Registrations and Notice Filings
(4/11/2024)
(2/14/2001)
(3/29/2024)
(6/6/2023)
(12/13/2020)
(6/7/2000)
(5/17/2019)
(8/28/1991)
(10/29/1997)
(12/2/2025)
(9/15/2006)
(1/3/2006)
(8/31/2010)
(2/14/2001)
(9/13/2017)
(7/17/2018)
(4/1/1999)
(2/14/2001)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 72 — Government Securities Representative Examination
Passed Jan 2023Series 42 — Registered Options Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 22 — Direct Participation Programs Representative Examination
Passed Mar 1981About the Series 22 examSeries 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed May 1996About the Series 28 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Jay Rice's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Jay Rice's CRS (Customer Relationship Summary).
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