Individual Firm
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Russell M. Rice
RUSSELL MURRAY RICE, Russell M Rice
CRD#: 1122692
IA
B
EDWARD JONESCRD#: 250 222 WELLER ST SUITE 1
PETALUMA, CA 94952
PETALUMA, CA 94952
View By:
10/22/2008
Customer Dispute
Denied
State Registrations
B
Arizona 4/29/1999
B
Nevada 4/2/1999
B
Arkansas 9/13/2010
B
New York 8/16/2016
B
California 4/2/1999
B
Oklahoma 1/25/2013
IA
California 1/29/2007
B
Pennsylvania 1/6/2022
B
Colorado 4/13/2000
B
Texas 4/5/2024
B
Florida 8/5/2024
IA
Texas 4/15/2024
B
Georgia 1/5/2021
B
Utah 6/29/2010
B
Idaho 7/16/2021
B
Wisconsin 9/20/2024
B
Missouri 8/18/2011
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/29/2007
B
Registered with this firm since 4/2/1999
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/20/1999 - 04/28/1999 | OMAHA, NE | |
B | 01/17/1992 - 03/26/1999 | PORTLAND, OR | |
B | 05/08/1986 - 08/02/1988 | ||
B | 03/07/1985 - 05/17/1986 | ||
B | 05/16/1983 - 02/06/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.