Gene R. Rice

WEALTH PRESERVATION ADVISORS

Chattanooga, TN 37402

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CRD#: 2944080

Professional summary

Gene Ray Rice, who also goes by Eugene Ray Rice, is a registered financial advisor currently at WEALTH PRESERVATION ADVISORS, LLC located in Chattanooga, Tennessee.

Gene is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Gene has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 23, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Eugene Ray Rice

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.

RICE & STOUT LLC; LOUISVILLE, KY; TWO PERSON LLC, BUYING PROPERTY; 1 HOUR PER WEEK IS DEVOTED DURING NON TRADING HOURS. GENE RICE IS A LICENSED INSURANCE AGENT. MR. RICE OCCASIONALLY CONDUCTS INSURANCE PRODUCTS SALES AS PART OF THIS ACTIVITY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Ray Rice's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 28, 2014 - Present

WEALTH PRESERVATION ADVISORS, LLC

Office #1: 715 Market Street Suite 307, Chattanooga, TN 37402

RIA

CRD#: 167518

Chattanooga, TN

Past

January 26, 2016 - February 26, 2016

SYNDICATED CAPITAL, INC.

CRD#: 29037

Chattanooga, TN

Past

August 28, 2009 - April 2, 2014

MORGAN STANLEY

RIA

CRD#: 149777

LOUISVILLE, KY

Past

August 28, 2009 - April 2, 2014

MORGAN STANLEY

CRD#: 149777

LOUISVILLE, KY

Past

October 1, 2008 - September 1, 2009

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

LOUISVILLE, KY

Past

October 1, 2008 - September 1, 2009

J.P. MORGAN SECURITIES LLC

CRD#: 79

LOUISVILLE, KY

Past

March 25, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

RIA

CRD#: 18718

LOUISVILLE, KY

Past

March 24, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

LOUISVILLE, KY

Past

April 2, 2007 - March 26, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

LOUISVILLE, KY

Past

April 2, 2007 - March 26, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

LOUISVILLE, KY

Past

October 17, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

LOUISVILLE, KY

Past

October 17, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

LOUISVILLE, KY

Past

September 23, 1999 - May 25, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

BEACHWOOD, OH

Past

October 17, 1997 - May 25, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTH PRESERVATION ADVISORS, LLC

NOON FINANCIAL, LLC | WEALTH PRESERVATION ADVISORS, LLC | WEALTH PRESERVATION ADVISORS

CRD#: 167518 / SEC#: 801-77997

RIA

Registered Investment Advisory firm - (5/10/2013 Approved)

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

Tennessee
(3/28/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/17/2012

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 10/30/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/16/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 8/6/2008

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 10

Date: 9/28/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/28/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

WEALTH PRESERVATION ADVISORS, LLC

NOON FINANCIAL, LLC | WEALTH PRESERVATION ADVISORS, LLC | WEALTH PRESERVATION ADVISORS

CRD#: 167518 / SEC#: 801-77997

RIA

Registered Investment Advisory firm - (5/10/2013 Approved)

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Contact information

Main Address

715 Market Street Suite 307, Chattanooga, TN 37402

Mailing Address

Phone number

(423) 486-9400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/18/2025)

Regulatory assets under management

Total Number of Accounts	1,024
AUM (Assets Under Management)	$ 536,051,424

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.

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Advisor Monitoring

Firm Stability Insights

Gene R. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Ray Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

SYNDICATED CAPITAL, INC.

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

J.P. MORGAN SECURITIES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WEALTH PRESERVATION ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1997

Series 63

Date: 10/23/1997

SIE

Date: 2/26/2016

Series 3

Date: 7/17/2012

Series 31

Date: 10/30/1997

Series 7

Date: 10/16/1997

Series 23

Date: 8/6/2008

Series 10

Date: 9/28/2000

Series 9

Date: 9/28/2000

Current Firm

WEALTH PRESERVATION ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTH PRESERVATION ADVISORS, LLC

TRUST BUT VERIFY

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