James Rice, financial advisor Ocean NJ
93 score

James Rice

CRD Number: 1402916
Current Firm: Investment Advisors Asset Management, LLC

James Rice (CRD# 1402916) is an Investment Advisor Representative working at Investment Advisors Asset Management, LLC in Ocean, NJ and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Royal Alliance Associates, Inc. New York, NY Dec 2006 - Current 10
Investment Advisors Asset Management, LLC Ocean, NJ May 2003 - Current 13
Financial Plus,inc D/b/a Creative Asset Management Clarksburg, NJ Mar 2010 - Dec 2010 < 1
Investment Advisors & Consultants, Inc. West Long Branch, NJ Aug 1985 - Nov 2006 21
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2004
Contact Info for James A. Rice
Phone Number: 610-258-3269
Registered State(s):
  • NJ
By the Numbers
  • Total Assets Under Management
    392
    MILLIONS
  • Total Number of Accounts
    2,085
    ACCOUNTS
  • Average Account Value
    $187,871
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CT, DE, FL, KS, LA, MA, MD, MO, NC, NE, NH, NJ, NV, NY, PA, TX, VA

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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