Thomas RiceCRD Number: 3184797
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Thomas Rice (CRD# 3184797) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Wilmington, DE and has over 18 years of experience in the finance industry.
Dedicated Investment Advisers LLC
Affinity Wealth Management, Inc.
Ameriprise Financial Services, Inc.
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Wilmington, DE||Jan 1999 - Current||19|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Mar 1999|
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:
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- 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