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David Hormell Rice

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Saint Simons Island, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-09-25
GA RA APPROVED 2005-09-14
  • TX RA
    APPROVED_RES
    Since 2012-09-25
  • GA RA
    APPROVED
    Since 2005-09-14

Branch Locations

103 Main St, Saint Simons Island, GA 31522 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Brunswick GA 12/1990 Present
Bank Of America, N.A. Brunswick GA 01/2010 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-12-06
S63 Uniform Securities Agent State Law Examination 1987-07-29
  • S65 Uniform Investment Adviser Law Examination
    1994-12-06
  • S63 Uniform Securities Agent State Law Examination
    1987-07-29
Other Names
  • David H Rice

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT SIMONS ISLAND, GA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · ST SIMONS IS, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Simons Island, GA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · St. Simons Island, GA
LPL ENTERPRISE, LLC · ST SIMONS ISLAND, GA
LPL FINANCIAL LLC · ST SIMONS ISLAND, GA
LPL FINANCIAL LLC · ST. SIMONS ISLAND, GA
CETERA INVESTMENT ADVISERS LLC · ST. SIMONS ISLAND, GA

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