Dale Rice has been Owner / Chief Compliance Officer of Dale Q. Rice Investment Management since August 2020, is a control person of the firm and directly owns 75% or more of it.
Dale Q. Rice Investment Management, LTD. is a firm with $157M under management, 121 clients and 1 adviser across 2 offices, as of its April 2026 filing.
Dale Rice’s longest registration was 11 years at Dale Q Rice Investment Advisor LTD (1999–2010). Before joining Dale Q. Rice Investment Management in 2020, Dale Rice was registered through Strategic Wealth Advisors Group and Dale Q Rice Investment Advisor LTD.
- – present · 6 yearsHenderson, NV · Adviser representative · Firm CRD 310614
- Strategic Wealth Advisors Group– · 4 yearsVancouver, WA · Adviser representative · Firm CRD 283824
- Strategic Wealth Advisors Group– · 5 yearsVancouver, WA · Adviser representative · Firm CRD 140977
- Dale Q Rice Investment Advisor LTD– · 11 yearsVancouver, WA · Adviser representative · Firm CRD 116253
Investment adviser representative registrations
Dale Rice is registered as an investment adviser representative in 2 states. The first approvals date from October 2020; the most recent is Nevada, in April 2026.
- NevadaSince 29 April 2026
- WashingtonSince 1 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 14 July 1999 |
| Series 24 | General Securities Principal Examination | 28 May 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 September 1993 |
| Series 7 | General Securities Representative Examination | 3 September 1993 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Dale Quintin Rice
- CRD
- 2394106
- Firm
- Dale Q. Rice Investment Management · CRD 310614
- Role
- Owner / Chief Compliance Officer
- Office
- Henderson, NV
- Registration
- Investment adviser registration
- In the industry since
- September 1993
- Disciplinary history
- Not yet shown here · SEC record
Where does Dale Rice work?
Dale Rice has been Owner / Chief Compliance Officer of Dale Q. Rice Investment Management, LTD. since August 2020, and is a control person of the firm.
Is Dale Rice a financial advisor?
Yes. Dale Rice has a current investment-adviser registration in Nevada and Washington, through Dale Q. Rice Investment Management since October 2020.
How many years of experience does Dale Rice have?
Dale Rice has 33 years in the financial industry, since September 1993, across 4 adviser firms.
What exams has Dale Rice passed?
Dale Rice has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 65. The earliest, the Series 7, was passed in September 1993. FINRA credited Dale Rice with the SIE, which began in October 2018.
Where did Dale Rice work before Dale Q. Rice Investment Management?
Before Dale Q. Rice Investment Management, Dale Rice was registered through Strategic Wealth Advisors Group, October 2010 to July 2016; Dale Q Rice Investment Advisor LTD, August 1999 to December 2010.
Where is Dale Rice based?
Dale Rice’s registered office is in Henderson, NV.
Is Dale Rice registered with FINRA?
No. Dale Rice has no current broker registration.
How can I verify Dale Rice’s record?
Search CRD 2394106 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Dale Rice’s full registration record.