Deborah L. 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.
Deborah Lee Rice, who also goes by Debbie Lee Armstrong, Debbie Lee Schmidt, Deborah Lee Webster, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2005. Deborah had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2012 - April 13, 2012
JHS CAPITAL ADVISORS, LLC
March 21, 2005 - April 11, 2012
PAULSON INVESTMENT COMPANY LLC
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
JHS CAPITAL ADVISORS, LLC
CRD#: 112097 / SEC#: 801-71238, 8-53232
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
