How trustworthy is your Financial Advisor?



See the full picture before you decide

Nearly 100,000 registered financial advisors have customer disputes, bankruptcies, criminal activity, and more on their records. In 2023, about 60 red flags were recorded daily. That's why it's crucial to check if your advisor has any red flags and decide whether you're comfortable with them.



1) NAME OF OTHER BUS: NO NAME INVESTMENT RELATED: NO; 938 FOREST AVE. PORTLAND, ME. 04103 NATURE OF OTHER BUS: 4 INVESTMENT RENTAL PROPERTIES LOCATED IN THE GREATER PORTLAND MAINE AREA. MY POSITION/TITLE: OWNER START DATE: 10/1994 HRS/MONTH DEVOTED TO OTHER BUS: 5 HRS/MONTH DEVOTED DURING TRADING HRS: 0 DUTIES: PROPERTY & TENENT MGMT. 2) CO-TRUSTEE OF JEANNETTE RICE'S TRUST (RELATIONSHIP: MOTHER)| 592 TOwnhouse Road E. Waterboro, ME 04030| NATURE OF BUS: ASSIST W/FINANCIAL MGMT OF TRUST| INVESTMENT RELATED| CO-TRUSTEE| DUTIES: If invoked as Trustee, along with sister would be making financial decisions for mother and her estate. START DATE: 10/13/2010| HRS DEVOTED TO BUS: Currently 0 hours| HRS DEVOTED TO BUS/MARKET HOURS: Currently 0 hours. 3) POWER OF ATTORNEY FOR JEANNETTE RICE (RELATIONSHIP: MOTHER)| 22 SAND POINT LN CUMBERLAND FORESIDE, ME 04110| NATURE OF BUS: ASSIST WITH FINANCIAL MGMT OF TRUST| INVESTMENT RELATED| POWER OF ATTORNEY (IN THE EVENT IT IS NEEDED)| DUTIES: ALL ASPECTS OF ASSET MGMT WHEN NEEDED| START DATE: 8.29.2013| HRS DEVOTED TO BUS: 0 HOURS/MONTH| HRS DEVOTED TO BUS/MARKET HOURS: 0 HOURS/MONTH. 4) NAME OF BUS: Capital Wealth Planning Services, LLC Bus Address: 938 Forest Avenue, Portland ME 04103 Nature of Bus: Client Servicing, Advise, and Clerical Activities INVESTMENT RELATED? YES POSITION/TITLE: IAR Bus Duties: Investment Advisor Activities & clerical business activity START DATE: 02/24/2016 HRS DEVOTED TO BUS DURING: 8 hrs/day NON-TRADING HOURS: 8 hours per/day 5)WR Rice Financial Svcs LLC Collects trailer commissions from old business transferred from previous company-does not solicit new business. Investment related Owner/President Management related 05/25/2011 1/2 spent per month, 0 hrs spent during market hours


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At AdvisorCheck, we want to ensure that the financial advisor you work with, or plan to work with, provides you with peace of mind that your money is safe. That’s why we offer background checks that cover 9 key categories.


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William Roger Rice

Experience: 36 years / 6 firms

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