RR
Richard J. Rice
MARCH CAPITAL
SKOKIE, IL
Some features on this profile are disabled
CRD#: 725697
RR
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, Series 14, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
RAM VC Management, LLC - investment related; Chicago IL; management of an investment fund; Manager; 4/29/2025 start date; 5 hours per month all during business hours; management of eFi Capital Partners, LLC. eFinery Energy LLC - Business advisor - 01/07/2025 - Glenview IL - 10hrs/mo - 10hrs/mo during Business Hrs - Yes Business Related - Energy - Advise company on business matters. - No Compensation The Financial Professionals Coalition, Ltd.; Business is investment-related; address: 10572 W. Indore Drive, Littleton, CO 80127; Nature of the other business: a support services clearinghouse for financial professionals; Relationship with the other business: co-founder; Start date: 2/21/2023; Approximate number of hours/month you devote to the other business, all during securities trading hours: 2 hours/month: Duties relating to the other business: participation with the chairman and other founders as a thought leader addressing challenges confronting professionals across the spectrum of the securities industry. 11.2 Ventures,LLC; Investment related; 30 E. Division St #8C Chicago IL 60610; a venture builder studio; member of the Executive Board (non-governing); Start date- May 9, 2020; estimate time devotion of 0.5 hours per month all during trading hours; duties principally include assisting 11.2 with business and technological visibility and insight into the core issues, trends and developments that directly affect its business strategy; and assisting in building market awareness and understanding of 11.2; assisting with growth strategies; etc..
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).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 29, 1997 - Present
MARCH CAPITAL CORP.
RIA
BD
CRD#: 24142
SKOKIE, IL
Current
August 20, 1991 - Present
MARCH CAPITAL CORP.
RIA
BD
CRD#: 24142
Skokie, IL
Past
October 9, 1990 - December 5, 1990
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
February 1, 1988 - May 7, 1990
CEDAR HILL FINANCIAL SERVICES, INC.
BD
CRD#: 15651
HIGHLAND PARK, IL
Past
March 14, 1981 - December 16, 1987
RODMAN & RENSHAW INC.
BD
CRD#: 724
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.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
Arkansas(4/11/2024)
RR
California(2/14/2001)
RR
Colorado(3/29/2024)
RR
Delaware(6/6/2023)
RR
District of Columbia(12/13/2020)
RR
Florida(6/7/2000)
RR
Georgia(5/17/2019)
RR
Illinois(8/28/1991)
IAR
Illinois(10/29/1997)
RR
Maryland(12/2/2025)
RR
Massachusetts(9/15/2006)
RR
Michigan(1/3/2006)
RR
Minnesota(8/31/2010)
RR
New York(2/14/2001)
RR
Ohio(9/13/2017)
RR
Puerto Rico(7/17/2018)
RR
Texas(4/1/1999)
RR
Washington(2/14/2001)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 42
Date: 1/2/2023
Registered Options Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 5/6/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MC
MARCH CAPITAL CORP.
ANGELSTREET SECURITIES, INC. | MARCH CAPITAL CORP. | GRANT SECURITIES, L.P. | GLENWOOD SECURITIES CORP.
CRD#: 24142 / SEC#: , 8-41173
Illinois
Registered Investment Advisory firm - SEC (10/29/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 E Randolph St Suite 5100, Chicago, IL 60601
Mailing Address
200 E Randolph St Suite 5100, Chicago, IL 60601-6528
Phone number
(312) 443-8404
Established
Illinois since 09/05/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4
FINRA licenses (24 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 | 3 |
| AUM (Assets Under Management) | $ 83,479,520 |
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.
