WR
William R. Rice
CAPITAL WEALTH PLANNING SERVICES
Portland, ME 04103
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CRD#: 1732907
WR
Professional summary
William Roger Rice is a registered financial advisor currently at CAPITAL WEALTH PLANNING SERVICES located in Portland, Maine.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. William has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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
CRS (Client Relationship Summary) - RIA
Click below to view William Roger Rice's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 24, 2016 - Present
CAPITAL WEALTH PLANNING SERVICES
Office #1: 938 Forest Avenue, Portland, ME 04103RIA
CRD#: 282475
Portland, ME
Past
November 13, 2012 - July 5, 2022
STONEX SECURITIES INC.
BD
CRD#: 18456
PORTLAND, ME
Past
March 19, 2012 - December 31, 2016
WR RICE FINANCIAL SVCS, LLC
RIA
CRD#: 160949
PORTLAND, ME
Past
December 4, 2002 - September 24, 2012
W R RICE FINANCIAL SERVICES, INC.
RIA
CRD#: 36700
PORTLAND, ME
Past
October 17, 1994 - November 8, 2012
W R RICE FINANCIAL SERVICES, INC.
BD
CRD#: 36700
PORTLAND, ME
Past
October 18, 1990 - October 13, 1994
AC FINANCIAL, INC.
BD
CRD#: 21616
PALM HARBOR, FL
Past
September 24, 1987 - October 18, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Maine(2/24/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CW
CAPITAL WEALTH PLANNING SERVICES
CAPITAL WEALTH | CAPITAL WEALTH PLANNING SERVICES LLC | CAPITAL WEALTH PLANNING SERVICES
CRD#: 282475 / SEC#:
Maine
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Contact information
Main Address
14 Maine Street, Suite 111b, Brunswick, ME 04011
Mailing Address
14 Maine Street Suite 111b, Brunswick, ME 04011
Phone number
(207) 459-8584
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 42,704,751 |
Red Flags
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Company Information
CAPITAL WEALTH PLANNING SERVICES
CRD#: 282475Portland, ME 04103TRUST BUT VERIFY
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