Chip A. 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.
Chip Alvin Rice was a registered financial professional .
Chip is a previously registered financial professional and started their career in finance in 1987. Chip had worked at 5 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
June 14, 2002 - January 2, 2009
FELTL & COMPANY
September 9, 1991 - June 18, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
June 15, 1990 - September 4, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
December 8, 1988 - May 24, 1990
B C FINANCIAL CORPORATION
August 22, 1987 - December 8, 1988
BLINDER, ROBINSON & 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
FELTL & COMPANY
CRD#: 6905 / SEC#: 801-68779, 8-18435
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 11 |
| 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.
