Charles G. Rice
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.
Charles Guard Rice, who also goes by Chuck Rice, was a registered financial advisor .
Charles is a previously registered financial advisor and started their career in finance in 1981. Charles had worked at 9 firms and has passed the Series 66, Series 63, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2005 - May 1, 2013
FRONTLINE ADVISORS
March 30, 1999 - November 27, 2000
USALLIANZ SECURITIES, INC.
June 23, 1998 - August 18, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 1997 - July 25, 1997
BANC ONE SECURITIES CORPORATION
April 15, 1992 - October 27, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 5, 1988 - October 17, 1989
KEOGLER, MORGAN & COMPANY, INC.
October 22, 1985 - January 7, 1988
PACE RESEARCH SERVICES, INC.
July 15, 1985 - October 29, 1985
PINNACLE SECURITIES, INC.
April 13, 1981 - August 1, 1983
PRINCIPAL FINANCIAL SECURITIES,INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRONTLINE ADVISORS
CRD#: 134959 / SEC#:
Contact information
Red Flags
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