Anthony Clayton Rice

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2009 → 07/2017
  Wfg Investments Inc
  Dallas, TX
• 07/2017 → 07/2022
  National Securities Corp
  Dallas, TX
• 07/2017 → 10/2024
  B. Riley Wealth Advisors, Inc.
  Dallas, TX
• 07/2022 → 10/2024
  B. Riley Wealth Management
  Dallas, TX
• 10/2024 → Present
  Lpl Financial Llc
  Richardson, TX

Previous Registrations

• 2017-07-28 → 2024-11-20
  B. Riley Wealth Advisors, Inc.
  Dallas, TX
  Richardson, TX
• 2009-12-10 → 2017-07-28
  Wfg Advisors, Lp
  Dallas, TX
• 2008-01-01 → 2009-12-03
  Wells Fargo Clearing Services, Llc
  Dallas, TX
• 2003-04-11 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Dallas, TX
  St. Louis, MO
  Dallas, TX

Exams

• S66 Uniform Combined State Law Examination
  2010-02-03
• S63 Uniform Securities Agent State Law Examination
  1995-07-06

Other Names

• Tony Rice