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LAWRENCE ROGER RICE
CRD#: 375304
PR
Previously Registered Investment Adviser
PR
Previously Registered Broker
BARRED
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as a broker and as an investment adviser. Visit IAPD for more information on this individual's investment adviser record. Go to SEC Site
Registration History
197519801985199019952000200520102015202020252 FIRMS1974 - 1975 (1 year)BCENTAURUS FINANCIAL, INC. (CRD# 30833)2022 - 2024 (1 year)BCETERA ADVISORS LLC (CRD# 10299)2022 - 2022 (<1 year)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2014 - 2022 (7 years)BAMERIPRISE FINANCIAL SERVICES,... (CRD# 6363)2011 - 2014 (3 years)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2007 - 2011 (4 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2002 - 2007 (4 years)BFAHNESTOCK & CO. INC. (CRD# 249)2002 - 2002 (<1 year)BJOSEPHTHAL & CO., INC. (CRD# 3227)1977 - 2002 (24 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)1998 - 1999 (<1 year)BROCKWOOD INC. (CRD# 27332)1995 - 1998 (3 years)BDUPONT WALSTON, INCORPORATED (CRD# 870)1973 - 1974 (<1 year)BDUPONT GLORE FORGAN INC (CRD# 1000001)1971 - 1973 (1 year)
Disclosure(s)
View By:
8/14/2024
Regulatory
Final
2/23/2024
Employment Separation After Allegations
2/8/2010
Customer Dispute
Settled
Previous Registration(s)
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B
10/21/2022 - 02/28/2024 CENTAURUS FINANCIAL, INC. (CRD#:30833) Lauderdale by the Sea, FL
B
09/08/2022 - 10/26/2022 CETERA ADVISORS LLC (CRD#:10299) Lauderdale by the Sea, FL
B
12/22/2014 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) Lauderdale by the Sea, FL
B
05/13/2011 - 12/26/2014 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) POMPANO BEACH, FL
B
04/27/2007 - 05/20/2011 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) FT. LAUDERDALE, FL
B
07/02/2002 - 05/04/2007 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) FT. LAUDERDALE, FL
B
01/02/2002 - 07/02/2002 FAHNESTOCK & CO. INC. (CRD#:249) NEW YORK, NY
B
03/08/1977 - 01/02/2002 JOSEPHTHAL & CO., INC. (CRD#:3227) NEW YORK, NY
B
11/16/1998 - 09/22/1999 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
B
05/30/1995 - 09/24/1998 ROCKWOOD INC. (CRD#:27332) NEW YORK, NY
B
03/18/1974 - 09/01/1975 E. F. HUTTON & COMPANY INC (CRD#:235)
B
12/06/1974 - 06/30/1975 FRONT STREET SECURITIES, INC (CRD#:6766)
B
07/02/1973 - 03/20/1974 DUPONT WALSTON, INCORPORATED (CRD#:870)
B
09/21/1971 - 07/02/1973 DUPONT GLORE FORGAN INC (CRD#:1000001)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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