David Hormell Rice

CRD 1684449 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Saint Simons Island, GA

IA RegisteredBroker

Also appears in the source record as: David H Rice

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 9Series 10SIESeries 7
Registered states (41): Alabama · Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 39
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1684449 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Saint Simons Island, GA · IA capacity

Sep 14, 2005 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Saint Simons Island, GA · BC capacity

start not retrieved → present
The Robinson-Humphrey Company Inc.
BD capacity

Sep 4, 1990 → Jan 11, 1991
Lehman Brothers Inc.
BD capacity

Jul 29, 1988 → Sep 11, 1990
Tucker, Anthony & R. L. Day, Inc.
BD capacity

Jun 26, 1987 → Jul 14, 1988

Source & corrections

Where this page comes from

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