John Rice is a CFP-designated registered investment advisor, based in Stamford, CT, with 33 years of industry experience.
Location
400 Atlantic Street, Floor 10, Suite 1020, Stamford, CT, 06901-3512
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Regulatory History (4)
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Customer Dispute
July 2010Settled
Customer Dispute
February 2009Denied
Customer Dispute
January 1998Closed-No Action
Customer Dispute
January 1998Closed-No Action
Other Business Activities
John owns a rental real estate condominium in Greenland, NH, generating monthly rental income, dedicating minimal time. He also works full-time as an investment adviser for Steward Partners Investment Advisory LLC.
Employment History
Current Registrations
Steward Partners Investment Solutions, LLCBroker
May 2022 - Present · 4 yrs
Steward Partners Investment Advisory, LLC
June 2016 - Present · 9 yrs 11 mos
Previous Registrations
Raymond James Financial Services, INC.Broker
June 2016 - May 2022 · 5 yrs 11 mos
Morgan StanleyBroker
June 2009 - July 2016 · 7 yrs 1 mo
Morgan Stanley
June 2009 - July 2016 · 7 yrs 1 mo
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley Dw INC.Broker
February 2006 - April 2007 · 1 yr 2 mos
Morgan Stanley
February 2006 - April 2007 · 1 yr 2 mos
Banc of America Investment Services, INC.
October 2004 - February 2006 · 1 yr 4 mos
Banc of America Investment Services, INC.Broker
October 2004 - February 2006 · 1 yr 4 mos
Quick & Reilly, INC.
January 2004 - October 2004 · 9 mos
Quick & Reilly, INC.Broker
September 2000 - October 2004 · 4 yrs 1 mo
Bankboston Investor Services, INC.Broker
January 1997 - September 2000 · 3 yrs 8 mos
Smith Barney INC.Broker
July 1993 - January 1997 · 3 yrs 6 mos
Lehman Brothers INC.Broker
September 1992 - July 1993 · 10 mos
State Registrations27 states
ALAZCACTDCDEFLIDILINMAMDMEMNMTNHNJNVNYOHPARISCTXVAVTWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.