James Rice, financial advisor Belmar NJ

James Rice

CRD Number: 1402916
Current Firm: Osaic Wealth, Inc.

James Rice (CRD# 1402916) is an Investment Advisor Representative working at Osaic Wealth, Inc. in Belmar, NJ and has over 19 years of experience in the finance industry. James Rice has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Royal Alliance Associates, Inc. Belmar, NJ Sep 2019 - Current 4
Royal Alliance Associates, Inc. Belmar, NJ Dec 2006 - Current 17
Investment Advisors Asset Management, LLC West Long Branch, NJ May 2003 - Jun 2020 17
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2004
Contact Info for James A. Rice
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • FL
  • IL
  • NJ
  • PA
By the Numbers
  • Total Assets Under Management
    29,536
    MILLIONS
  • Total Number of Accounts
    149,233
    ACCOUNTS
  • Average Account Value
    $197,920
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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