Sean Michael Rice

Current Employers

Employment History

• 05/2016 → 11/2018
  Signator Investors, Inc.
  Cedar Rapids, IA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Cedar Rapids, IA

Previous Registrations

• 2016-05-13 → 2018-11-02
  Signator Investors, Inc.
  Cedar Rapids, IA
  Rochester, MN
  Cedar Rapids, IA
• 2015-03-27 → 2016-05-13
  Transamerica Financial Advisors, Llc
  Cedar Rapids, IA
  Rochester, MN
  Cedar Rapids, IA
  Cedar Rapids, IA

Other Businesses

1. ANDERSON FINANCIAL SERVICES- SECURITIES POSITION: Investment Advisor NATURE: DBA name for securities sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 01/01/2015 ADDRESS: 4840 N River Blvd NE, #200, Cedar Rapids IA 52411, United States DESCRIPTION: Investment Advisor- service & sales of securities business 2. ANDERSON FINANCIAL SERVICES- FIXED INS POSITION: agent/rep NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 50 START DATE: 01/01/2015 ADDRESS: 4840 N River Blvd NE, #200, Cedar Rapids IA 52411, United States DESCRIPTION: DBA forFixed Insurance, primarily life insurance 3. STRELLNER FINANCIAL GROUP POSITION: representative NATURE: Insurance/Marketing Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2001 ADDRESS: 4840 North River Boulevard Northeast, #100, Cedar Rapids IA 52411, United States DESCRIPTION: local group marketing efforts done under this group branding 4. SMR FINANCIAL SERVICES, INC POSITION: President NATURE: S Corp INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2021 ADDRESS: 4840 North River Boulevard Northeast, #200, Cedar Rapids IA 52411, United States DESCRIPTION: Reconciliation of compensation

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-03-02
• S63 Uniform Securities Agent State Law Examination
  2001-05-18