CASEY V RICE - Investment Adviser at PNC INVESTMENTS

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Detailed ReportReport

CASEY V RICE

CRD#: 4502086

Investment Adviser

Broker

PNC INVESTMENTSCRD#: 129052

705 HIGHLANDER POINT DRIVE
FLOYDS KNOBS, IN 47119

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Alabama 4/12/2004

Kentucky 1/1/2004

Florida 5/5/2015

Kentucky 1/1/2004

Indiana 1/1/2004

Oregon 2/8/2024

Indiana 8/17/2016

SRO Registrations

FINRA

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)

PNC INVESTMENTS (CRD#:129052)

705 HIGHLANDER POINT DRIVE, FLOYDS KNOBS, IN 47119

2014 STATE STREET, NEW ALBANY, IN 47150

Registered with this firm since 1/1/2004

PNC INVESTMENTS (CRD#:129052)

705 HIGHLANDER POINT DRIVE, FLOYDS KNOBS, IN 47119

2014 STATE STREET, NEW ALBANY, IN 47150

Registered with this firm since 1/1/2004

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	06/10/2003 - 01/01/2004	HILLIARD LYONS ASSET MANAGEMENT (CRD#:453)	LOUISVILLE, KY
B	06/10/2003 - 01/01/2004	J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453)	LOUISVILLE, KY
IA	05/21/2002 - 04/30/2003	MORGAN STANLEY (CRD#:7556)	LOUISVILLE, KY
B	05/01/2002 - 04/30/2003	MORGAN STANLEY DW INC. (CRD#:7556)	PURCHASE, NY

HILLIARD LYONS ASSET MANAGEMENT (CRD#:453)

LOUISVILLE, KY

06/10/2003 - 01/01/2004

J.J.B. HILLIARD, W.L. LYONS, INC. (CRD#:453)

LOUISVILLE, KY

06/10/2003 - 01/01/2004

MORGAN STANLEY (CRD#:7556)

LOUISVILLE, KY

05/21/2002 - 04/30/2003

MORGAN STANLEY DW INC. (CRD#:7556)

PURCHASE, NY

05/01/2002 - 04/30/2003

For additional information about investment advisers or broker-dealers, please visit

www.investor.gov

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.

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.