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DALE WINTERS RICE JR
CRD#: 2644016
IA
Investment Adviser
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Previous Broker
INTENTIONALCRD#: 318570 Mount Airy, MD
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - 2012 (4 years)2 FIRMS2012 - 2022 (9 years)IAINTENTIONAL (CRD# 318570)2022 - Present (2 years)BUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)1999 - 2007 (7 years)BALLFIRST BROKERAGE CORPORATION (CRD# 17531)1998 - 1999 (1 year)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1997 - 1998 (<1 year)BFIRST MARYLAND BROKERAGE CORPO... (CRD# 17531)1997 - 1997 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1996 (1 year)IAUVEST FINANCIAL SERVICES GROUP... (CRD# 13787)2004 - 2007 (3 years)
License(s)

State Registrations

IA
Maryland 4/5/2022

Current Registration(s)
IA
INTENTIONAL (CRD#:318570)
Mount Airy, MD
Registered with this firm since 4/5/2022

Previous Registration(s)
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IA
05/02/2012 - 04/05/2022 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) BETHESDA, MD
B
05/02/2012 - 04/05/2022 COMMONWEALTH FINANCIAL NETWORK (CRD#:8032) BETHESDA, MD
IA
10/02/2007 - 05/03/2012 LPL FINANCIAL LLC (CRD#:6413) ROCKVILLE, MD
B
10/03/2007 - 05/03/2012 LPL FINANCIAL LLC (CRD#:6413) ROCKVILLE, MD
IA
02/12/2004 - 10/09/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROCKVILLE, MD
B
12/23/1999 - 10/09/2007 UVEST FINANCIAL SERVICES GROUP, INC. (CRD#:13787) ROCKVILLE, MD
IA
09/12/2007 - 10/02/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) SAN DIEGO, CA
B
09/12/2007 - 10/02/2007 LINSCO/PRIVATE LEDGER CORP. (CRD#:6413) SAN DIEGO, CA
B
05/22/1998 - 12/17/1999 ALLFIRST BROKERAGE CORPORATION (CRD#:17531) BALTIMORE, MD
B
10/23/1997 - 02/19/1998 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
04/15/1997 - 10/08/1997 FIRST MARYLAND BROKERAGE CORPORATION (CRD#:17531) BALTIMORE, MD
B
09/15/1995 - 12/06/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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B
Broker
IA
Investment Adviser
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.