JEFFREY BLAKE RICE is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 1200 PREMIER DRIVE, SUITE 200, CHATTANOOGA, TN, 37421.

JEFFREY BLAKE RICE has worked at AXA ADVISORS, LLC since August 18, 2011

Disclosure History

JEFFREY BLAKE RICE has 2 Disclosure Event(s).

Date: June 26, 2017
Category: Investigation
Initiated By: Tennessee Department of Insurance Description of Investigation: Tennessee Division of Insurance is investigating the RR's sales practices.

Date: February 27, 2017
Category: Customer Dispute
Allegations: Client alleges she was not properly informed of the fees associated with her variable annuity at the time of sale in 2015.
Broker Comment: The Firm found no basis to the customer complaint.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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