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Gary A. Rice

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CRD#: 870741
GR

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.

Gary Arthur Rice was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1979. Gary had worked at 12 firms and has passed the Series 63, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 23, 1997 - August 22, 2002

SANDS BROTHERS & CO., LTD.

BD
CRD#: 26816
NEW YORK, NY
Past

November 8, 1995 - May 19, 1997

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

November 17, 1993 - October 3, 1995

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

January 22, 1992 - November 5, 1993

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

October 5, 1990 - January 28, 1992

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

June 2, 1989 - September 24, 1990

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20
Past

May 22, 1989 - July 15, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Past

January 4, 1988 - May 22, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

August 19, 1985 - January 11, 1988

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Past

June 14, 1985 - March 7, 1987

WHARTON FINANCIAL CORP.

BD
CRD#: 7286
Past

May 21, 1982 - June 11, 1985

CRALIN & CO., INC.

BD
CRD#: 7605
Past

August 31, 1979 - May 10, 1982

ENI CORPORATION

BD
CRD#: 5693

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 8/23/1979
Registered Representative Examination

Current Firm

SB
SANDS BROTHERS & CO., LTD.
SANDS BROTHERS & CO., LTD. | SHOCKET SECURITIES, A DIVISION OF SANDS BROTHERS & CO., LTD. | SANDS BROTHERS MITCHELL & CO., LIMITED

CRD#: 26816 / SEC#: , 8-42740

BD
Terminated by SEC on 12/21/2004
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/16/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SANDS, MARTIN SCOTTCO-OWNER1186904
SANDS, STEVEN BRETTCHAIRMAN & SECRETARY730742
BENDELAC, ROGER EMILEPRESIDENT715445

Disclosures

Regulatory Event17
Arbitration16

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

SANDS BROTHERS & CO., LTD.

CRD#: 26816

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