Philip R. Rice
Professional summary
Philip Roesing Rice is a registered financial advisor currently at WARM SPRINGS ADVISORS INC. located in Larkspur, California.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Philip has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Philip Roesing Rice's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2020 - Present
WARM SPRINGS ADVISORS INC.
Office #1: 80 E. Sir Francis Drake Blvd. Suite 4d, Larkspur, CA 94939September 7, 2010 - May 22, 2012
WELLS FARGO SECURITIES, LLC
August 20, 2008 - December 31, 2008
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
October 24, 2003 - March 16, 2004
COMMERZ MARKETS LLC
December 7, 1994 - April 16, 1997
SBC WARBURG, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/8/2020)
Exams
Series 8
Date: 1/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WARM SPRINGS ADVISORS INC.
CRD#: 306501 / SEC#: 801-134774
Contact information
Regulatory assets under management
| Total Number of Accounts | 46 |
| AUM (Assets Under Management) | $ 138,009,310 |
Red Flags
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Company Information
WARM SPRINGS ADVISORS INC.
CRD#: 306501Larkspur, CA 94939TRUST BUT VERIFY
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