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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)34 years in industry

JOHN ALEXANDER RICE

Advisor at STEWARD PARTNERS INVESTMENT ADVISORY, LLC

STAMFORD, CT | PORTSMOUTH, NH

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Search this name across graphsid dfx:ria:4186f3b0-74d1-e69f-7209-b0596910295e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jan 17, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STEWARD PARTNERS INVESTMENT ADVISORY, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 16, 1992earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Sep 16, 1992
First registration: Jan 17, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 2269699

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STEWARD PARTNERS INVESTMENT ADVISORY, LLC	Bd affiliated wealth	Jun 13, 2016	n/a	yes	STAMFORD, CT\|PORTSMOUTH, NH	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jul 8, 2016	no	Manchester, NH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	MANCHESTER, NH	Previous registration
MORGAN STANLEY DW INC.	n/a	Feb 3, 2006	Apr 2, 2007	no	MANCHESTER, NH	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Feb 6, 2006	no	ANDOVER, MA	Previous registration
QUICK & REILLY, INC.	n/a	Jan 17, 2004	Oct 20, 2004	no	ANDOVER, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	STEWARD PARTNERS INVESTMENT ADVISORY, LLC	Jul 8, 2016	Jun 13, 2016	-25	Firm change	Wirehouse to new firm
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MORGAN STANLEY DW INC.	Feb 6, 2006	Feb 3, 2006	-3	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:283004:NH:2016-07-07	Jul 8, 2016	Jun 13, 2016	MANCHESTER, NH	Firm change

Relationships

Registered with (6)

→ STEWARD PARTNERS INVESTMENT ADVISORY, LLCRegistered adviserregistration: current employment
Jun 13, 2016 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jul 8, 2016factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Feb 3, 2006 to Apr 2, 2007factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Feb 6, 2006factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jan 17, 2004 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.