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Joseph Rice

Raymond James Financial Services Advisors, INC
9 Years of Experience
Palm Beach Gardens, FL
1 DisclosureBroker
View SEC Summary
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Joseph Rice is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Palm Beach Gardens, FL, with 9 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

3300 PGA Blvd, Suite 970, Palm Beach Gardens, FL, 33410

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2023
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph established Cogan Financial as an LLC for tax purposes, where his Raymond James advisor duties remain the same. He is also an independent contractor for Helius Wealth Management, providing financial advice, preparing financial plans, and managing assets, similar to his role at Raymond James; both activities take about half of Joseph's time.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
July 2023 - Present · 3 yrs 3 mos
Raymond James Financial Services, INC.Broker
March 2023 - Present · 3 yrs 7 mos
Previous Registrations
Lincoln Financial Advisors Corporation
June 2020 - March 2023 · 2 yrs 9 mos
Lincoln Financial Advisors CorporationBroker
June 2020 - March 2023 · 2 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2017 - June 2020 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 2016 - June 2020 · 3 yrs 6 mos
State Registrations12 states
AZFLMAMDMINCNHOHPATXVAWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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Joseph Rice - Financial Advisor | TrueAdvisor