Robert RiceCRD Number: 6377530
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Robert Rice (CRD# 6377530) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Mansfield, OH and has over 3 years of experience in the finance industry.
Sterne Agee Investment Advisor Services, Inc.
Raymond James Financial Services Advisors, Inc.
Investment Professionals, Inc.
|Bank Of America, N.a.||Mansfield, OH||Dec 2014 - Current||3|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Mansfield, OH||Jul 2014 - Current||3|
|Sprint Corp||Mansfield, OH||Jun 1985 - Jul 2014||29|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Oct 2014|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY