Unclaimed Profile

James Arthur Rice

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC·EASTON, Pennsylvania

SIE, Series 6, Series 7, Series 22, Series 24, Series 27, Series 52TO, Series 53, Series 66, Series 99TOCFPClean record23 years registeredINVESTMENT ADVISORS ASSET MANAGEMENT, LLC

137 NORTH SECOND STREET, EASTON, PA 18042CRD# 1402916Firm CRD# 128716

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Arthur Rice · EASTON, PA

Registration

CRD #1402916 · INVESTMENT ADVISORS ASSET MANAGEMENT, LLC · 23 years registered

Brand Profile

Not yet started

Career History

OSAIC WEALTH, INC.

Aug 2019 – present

CREATIVE ASSET MANAGEMENT

May 2010 – Nov 2011

CLARKSBURG, NJ

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

Dec 2003 – Jun 2020

WEST LONG BRANCH, NJ

IAC ADVISORY SERVICES, INC

Mar 2003 – Dec 2004

OCEAN, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 22

Series 24

Series 27

Series 52TO

Series 53

Series 66

Series 99TO

Registration record

First registered · March 6, 2003

Years registered · 23

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

CRD 128716 · SEC 801-62575

AUM

$481M

Regulatory assets under management

Employees

2,237 client accounts

Services offered by INVESTMENT ADVISORS ASSET MANAGEMENT, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at INVESTMENT ADVISORS ASSET MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does James Arthur Rice offer?

James Arthur Rice specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in EASTON, Pennsylvania for a consultation.

What are James Arthur Rice's credentials?

James Arthur Rice holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Arthur Rice located?

James Arthur Rice is based in EASTON, Pennsylvania, working with INVESTMENT ADVISORS ASSET MANAGEMENT, LLC. Their office serves clients in the EASTON metropolitan area and surrounding communities.

How does James Arthur Rice charge for services?

James Arthur Rice's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is INVESTMENT ADVISORS ASSET MANAGEMENT, LLC?

INVESTMENT ADVISORS ASSET MANAGEMENT, LLC has approximately 26 employees and manages $481M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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