Joyce Rice
Joyce Rice is a registered investment advisor at Northwestern Mutual Investment Services,llc, based in Saratoga Sprgs, NY, with 10 years of industry experience. Joyce operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 1 clients.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Fee Structure
NMIS does not manage accounts directly for individual clients. NMIS provides referral services to other investment advisors and fixed income advice to other investment advisors.
Location
3257 Route 9 Ste 1, Saratoga Sprgs, NY, 12866
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Joyce is the President of the Board of Directors for The Giving Circle, a non-profit organization, since 2022. She spends about a quarter of her time facilitating meetings, coordinating volunteers, fundraising, and creating partnerships.
Employment History
Current Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Mercer Allied Company, L.P.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.