James D. 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.
James Donald Rice III, who also goes by Donnie Rice, James Donald Rice, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2023. James had worked at 1 firm and has passed the Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2023 - November 13, 2024
RICE FINANCIAL PRODUCTS COMPANY
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: 3/7/2023
General Securities Representative ExaminationCurrent Firm
RICE FINANCIAL PRODUCTS COMPANY
CRD#: 21606 / SEC#: , 8-39085
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
