Douglas T. Rice
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Therman Rice, who also goes by Doug Rice, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1983. Douglas had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 1991 - July 17, 1991
FIRST INLAND SECURITIES, INC.
January 9, 1990 - November 20, 1990
BRENNAN ROSS SECURITIES, INC.
April 10, 1989 - January 1, 1990
KOCHCAPITAL
January 25, 1988 - April 3, 1989
CIMMARON SECURITIES CORPORATION
September 17, 1985 - October 30, 1987
ALLIED CAPITAL GROUP, INC.
January 31, 1985 - October 7, 1985
AMFCO SECURITIES, INC.
February 6, 1984 - December 26, 1984
CHESLEY AND DUNN, INC.
January 12, 1983 - October 31, 1983
MICHAEL C. TALLEY & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST INLAND SECURITIES, INC.
CRD#: 16807 / SEC#: , 8-34552
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
