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John Alexander Rice

Steward Partners Investment Advisory, LLC

Stamford, CT

Portsmouth, NH

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Current Employers
Steward Partners Investment Advisory, Llc

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-12-21
NH RA APPROVED 2016-06-13
  • TX RA
    APPROVED_RES
    Since 2022-12-21
  • NH RA
    APPROVED
    Since 2016-06-13

Branch Locations

400 Atlantic Street Floor 10, Suite 1020, Stamford, CT 06901-3512 • United States

145 Maplewood Ave Suite 100, Portsmouth, NH 03801 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James Financial Services In Manchester NH 06/2016 05/2022
Steward Partners Investment Advisory, Llc Portsmouth NH 06/2016 Present
Steward Partners Global Advisory, Llc Portsmouth NH 06/2016 Present
Steward Partners Investment Solutions, Llc Portsmouth NH 05/2022 Present
  • 06/2016 → 05/2022
    Raymond James Financial Services In
    Manchester, NH
  • 06/2016 → Present
    Steward Partners Investment Advisory, Llc
    Portsmouth, NH
  • 06/2016 → Present
    Steward Partners Global Advisory, Llc
    Portsmouth, NH
  • 05/2022 → Present
    Steward Partners Investment Solutions, Llc
    Portsmouth, NH
Previous Registrations
  • 2009-06-01 → 2016-07-08
    Morgan Stanley
    Manchester, NH
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Manchester, NH
  • 2006-02-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    Manchester, NH
  • 2004-10-20 → 2006-02-06
    Banc Of America Investment Services, Inc.
    Andover, MA
  • 2004-01-17 → 2004-10-20
    Quick & Reilly, Inc.
    Andover, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-08-23
S63 Uniform Securities Agent State Law Examination 1992-09-16
  • S65 Uniform Investment Adviser Law Examination
    2004-08-23
  • S63 Uniform Securities Agent State Law Examination
    1992-09-16
Designations

View on SEC IAPD

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PAUL JON ACKERLEY
PATRICK J MCSTAY
LENNY CASTAGNA
SCOTT MICHAEL BARTONE
Anthony Vollmer
Kristen Sue Clark

Other Offices

COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
K2/D&S MANAGEMENT CO., L.L.C. · STAMFORD, CT
LONGRANGE CAPITAL, L.P. · STAMFORD, CT
DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
CONCENTRIC CAPITAL STRATEGIES L.P. · STAMFORD, CT
INTEGRA GLOBAL ADVISORS LLC · Stamford, CT
MEASURE 8 VENTURE PARTNERS · STAMFORD, CT

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