James Rice
Investment Adviser Representative at Steward Partners Investment Advisory, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Rice is an investment adviser representative with Steward Partners Investment Advisory, LLC in Portsmouth, NH, where they have been registered since 2024, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New Hampshire and Texas.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New Hampshire, Texas
- Broker:
27 states and territories
Alabama, Arizona, California, Connecticut, Delaware, District of Columbia, Florida, Idaho, Illinois, Indiana, Maine, Maryland, Massachusetts, Minnesota, Montana, Nevada, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Steward Partners Global Advisory, LLCJun 2024 – no end date reportedPortsmouth, NH
- Steward Partners Investment Solutions, LLCJun 2024 – no end date reportedPortsmouth, NH
- Confluent Medical TechnologiesMay 2022 – Jun 2024Warwick, RI
- General Dynamics Electric BoatAug 2018 – May 2022Groton, CT
- University of New HampshireAug 2017 – Aug 2018Durham, NH
- Lockheed MartinJun 2017 – Aug 2017Uniondale, NY
- University of New HampshireAug 2016 – Jun 2017Durham, NH
- Steward Partners Investment Advisory, LLCSep 2024 – no end date reportedPortsmouth, NH
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Steward Partners Investment Advisory, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 460
- Offices listed on AdvisorFinder:
- 28
- Main office:
- Stamford, CT
- SEC file number:
- 801-107426
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at Steward Partners Investment Advisory, LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Rice has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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