Carl Edward Rice

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (5)

Series 65Series 63SIEPCSeries 7

Registered states (38)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Indiana · Kentucky · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming

Years in the industry (source record)

50

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

Current firm

From the firm record

Firm

Morgan Stanley

Firm CRD

149777

SEC number

801-70103

Assets under management

$2.0T as of Jun 30, 2026

Website

www.morganstanley.com ↗

Phone

914-225-5510

Firm location

Purchase, NY, 10577-2530

Employment history (5)

From the source registration record · current first

• Morgan StanleyCurrent

  Modesto, CA · IA capacity
  Jun 1, 2009 → present
• Citigroup Global Markets Inc.

  IA capacity
  Jul 8, 1997 → Jun 1, 2009
• Citigroup Global Markets Inc.

  BD capacity
  Jul 31, 1993 → Jun 1, 2009
• Lehman Brothers Inc.

  BD capacity
  May 23, 1988 → Jul 31, 1993
• E. F. Hutton & Company Inc

  BD capacity
  May 20, 1976 → Jan 14, 1988

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.