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Carl Edward Rice

Morgan Stanley

Modesto, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-02-24
CA RA APPROVED 2009-06-01
  • TX RA
    APPROVED_RES
    Since 2020-02-24
  • CA RA
    APPROVED
    Since 2009-06-01

Branch Locations

1020 10Th Street 2Nd Floor, Modesto, CA 95354 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citigroup Global Markets Inc. Modesto CA 07/1993 Present
Morgan Stanley Smith Barney Modesto CA 06/2009 Present
Morgan Stanley Private Bank, National Association New York NY 01/2015 Present
  • 07/1993 → Present
    Citigroup Global Markets Inc.
    Modesto, CA
  • 06/2009 → Present
    Morgan Stanley Smith Barney
    Modesto, CA
  • 01/2015 → Present
    Morgan Stanley Private Bank, National Association
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-03-12
S63 Uniform Securities Agent State Law Examination 1981-11-18
  • S65 Uniform Investment Adviser Law Examination
    1992-03-12
  • S63 Uniform Securities Agent State Law Examination
    1981-11-18

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · MODESTO, CA
LPL FINANCIAL LLC · MODESTO, CA
PRINCIPAL SECURITIES, INC. · MODESTO, CA
LPL FINANCIAL LLC · MODESTO, CA
INTEGRAL WEALTH MANAGEMENT · Modesto, CA
OLIVEIRA WEALTH · MODESTO, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Modesto, CA
OSAIC WEALTH, INC. · MODESTO, CA

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