Joseph Cogan Rice

Current Employers

Employment History

• 10/2016 → 06/2020
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Towson, MD
• 01/2006 → 12/2021
  Kudda
  Reisterstown, MD
• 03/2017 → 06/2020
  Bank Of America, N.A.
  Towson, MD
• 06/2020 → 03/2023
  Lincoln Financial Advisors
  Hunt Valley, MD
• 03/2023 → Present
  Helius Wealth Management
  Palm Beach Gardens, FL
• 03/2023 → Present
  Raymond James Financial Services, Inc.
  Palm Beach Gardens, FL
• 03/2023 → Present
  Raymond James Financial Services Advisors, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2020-06-22 → 2023-03-08
  Osaic Fa, Inc.
  Hunt Valley, MD
  Vienna, VA
  Hunt Valley, MD
• 2017-01-30 → 2020-06-24
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Towson, MD

Other Businesses

(1) Name of Business: Cogan Financial Address: 3300 Pga Blvd Ste 970, Palm Beach Gardens, FL, 33410-2888, United States Activity Type: Support Company - Owner Position/Title: Officer - CEO, Officer - President Investment Related: No Start Date: 03/07/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: I set up Cogan Financial as LLC for tax reasons. All of my duties as a Raymond James advisor are the same as Cogan (2) Name of Business: Cogan Financial LLC Address: 3300 Pga Blvd Ste 970, Palm Beach Gardens, FL, 33410, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 03/31/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Set up myself as an LLC for preferential tax treatment and flexibility. All commissions and managed fees flow to the LLC in the RJ platform. \nFor the following questions, I'm answering them with the understanding that my activities with RJ as advisor is NOT included in activities as LLC. Activities of the LLC will consist of moving my assets between my accounts and tax related business decisions. (3) Name of Business: Helius Wealth Management Address: 3300 Pga Blvd Ste 970, Palm Beach Gardens, FL, 33410-2888, United States Activity Type: Support Company - Non Owner Position/Title: Independent Contractor Investment Related: No Start Date: 03/07/2023 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Provide financial advice and prepare financial plans, manage assets. Same duties as I do with Raymond James. Was notified I needed to disclose Helius as an OBA.

Exams

• S66 Uniform Combined State Law Examination
  2017-01-27