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Detailed Report
JAMES CRAIG RICE
J. CRAIG RICE
CRD#: 1268134
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 500 108th Avenue, North East
Suite 1900
Bellevue, WA 98004
Registration History
1985199019952000200520102015202020252 FIRMS2007 - 2009 (2 years)2 FIRMS2009 - Present (15 years)BMORGAN STANLEY DW INC. (CRD# 7556)2002 - 2007 (4 years)BLYNOTT SECURITIES, INC. (CRD# 10040)1984 - 1986 (1 year)IAMORGAN STANLEY (CRD# 7556)2003 - 2007 (4 years)
License(s)

State Registrations

B
Alaska 11/22/2021
B
Mississippi 4/23/2024
B
Arizona 6/1/2009
B
Missouri 6/11/2009
B
California 6/1/2009
B
Montana 6/1/2009
B
Colorado 6/1/2009
B
Nevada 1/9/2012
B
Florida 12/11/2009
B
Oregon 6/1/2009
B
Georgia 4/8/2022
B
Texas 4/12/2022
B
Hawaii 6/1/2009
IA
Texas 4/18/2022
B
Idaho 10/17/2023
B
Virginia 2/24/2016
B
Maryland 6/1/2009
B
Washington 6/1/2009
B
Minnesota 6/1/2009
IA
Washington 6/1/2009

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MORGAN STANLEY (CRD#:149777)
500 108th Avenue, North East Suite 1900, Bellevue, WA 98004
North Bend, WA
Registered with this firm since 6/1/2009
B
MORGAN STANLEY (CRD#:149777)
500 108th Avenue, North East Suite 1900, Bellevue, WA 98004
North Bend, WA
Registered with this firm since 6/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLINGHAM, WA
B
 04/02/2007 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) BELLINGHAM, WA
IA
 01/14/2003 - 04/02/2007 MORGAN STANLEY (CRD#:7556) BELLINGHAM, WA
B
 10/28/2002 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) BELLINGHAM, WA
B
 06/22/1984 - 03/14/1986 LYNOTT SECURITIES, INC. (CRD#:10040)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.