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David Charles Rice

DUKE FUNDING MANAGEMENT, L.L.C.·OLD GREENWICH, Connecticut
SIE, Series 7, Series 24, Series 63Clean recordDUKE FUNDING MANAGEMENT, L.L.C.
53 FOREST AVENUE, OLD GREENWICH, CT 06870CRD# 5574821Firm CRD# 117590

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Charles Rice · OLD GREENWICH, CT
Registration
CRD #5574821 · DUKE FUNDING MANAGEMENT, L.L.C.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
DUKE FUNDING MANAGEMENT, L.L.C.
CRD 117590 · SEC 801-61009
AUM
$150M
Regulatory assets under management
Employees
162
4 client accounts
Services offered by DUKE FUNDING MANAGEMENT, L.L.C.
Per Form ADV
Pension consulting
Client types served by the firm
Per Form ADV
Pension & Retirement Plans
View all advisors at DUKE FUNDING MANAGEMENT, L.L.C. →
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Frequently Asked Questions

What services does David Charles Rice offer?
David Charles Rice specializes in Retirement Planning. Contact their office in OLD GREENWICH, Connecticut for a consultation.
What are David Charles Rice's credentials?
David Charles Rice is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Charles Rice located?
David Charles Rice is based in OLD GREENWICH, Connecticut, working with DUKE FUNDING MANAGEMENT, L.L.C.. Their office serves clients in the OLD GREENWICH metropolitan area and surrounding communities.
How does David Charles Rice charge for services?
David Charles Rice's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DUKE FUNDING MANAGEMENT, L.L.C.?
DUKE FUNDING MANAGEMENT, L.L.C. has approximately 162 employees and manages $150M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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