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WR

William E. Rice

Some features on this profile are disabled
CRD#: 2255148
WR

Professional summary

William Eric Rice was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

William is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, William had worked at 4 firms, which includes FIRST INDEPENDENT FINANCIAL SERVICES INC., PROFESSIONAL INVESTMENT SERVICES INC., CHAPMAN SECURITIES INC., POWELL & SATTERFIELD INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 6, 2004 - August 7, 2015

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

BD
CRD#: 128904
WICHITA, KS
Past

August 2, 2002 - November 8, 2004

PROFESSIONAL INVESTMENT SERVICES, INC.

BD
CRD#: 13703
WINFIELD, KS
Past

January 13, 1993 - August 8, 2002

CHAPMAN SECURITIES, INC.

BD
CRD#: 25688
WICHITA, KS
Past

July 22, 1992 - December 23, 1992

POWELL & SATTERFIELD, INC.

BD
CRD#: 7030
LITTLE ROCK, AR

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/23/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/3/1996
Registered Options Principal Examination

Current Firm

FI
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
FIRST INDEPENDENT ADVISORY SERVICES, INC. | FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904 / SEC#: , 8-66183

BD
Terminated by SEC on 02/15/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 03/27/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PALMER, PHILLIP HOWARDPRESIDENT/SEC./TREAS./CCO1037871
BENNETT, NOEL DAVIDCHIEF OPERATIONS OFFICER1751557
PATTERSON, RICHARD EUGENECHIEF FINANCIAL OFFICER1762082

Disclosures

Arbitration1

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.

Company Information

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904

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