Diana B. 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.
Diana Booth Rice, who also goes by Diana Booth, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1993. Diana had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2011 - October 30, 2020
KMS FINANCIAL SERVICES, INC.
October 8, 2001 - July 28, 2011
FSC SECURITIES CORPORATION
October 29, 1997 - December 31, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 20, 1997 - October 30, 1997
CAPTRUST SECURITIES CORPORATION
September 12, 1996 - March 25, 1997
CRISPIN KOEHLER SECURITIES
December 4, 1995 - September 17, 1996
STRATEGIC ASSETS INC.
April 28, 1993 - December 15, 1995
BUTTONWOOD SECURITIES, 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
Series 7TO
Date: 7/15/2022
General Securities Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
