Anna K. Rice

BROKAW RICE INVESTMENT ADVISORS

Dallas, TX

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CRD#: 2990921

Professional summary

Anna Kay Brokaw Rice, who also goes by Anna Kay Brokaw, is a registered financial advisor currently at BROKAW RICE INVESTMENT ADVISORS, INCORPORATED located in Dallas, Texas.

Anna is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Anna has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anna Kay Brokaw

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.

ANNA KAY BROKAW RICE IS A TALENT SOLUTIONS DIRECTOR AT SERVICENOW. THESE ACTIVITIES INCLUDE MANAGING HUMAN RESOURCES TALENT ACQUISITION FOR SERVICENOW.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Kay Brokaw 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®

None

Experience

Current

January 20, 1998 - Present

BROKAW RICE INVESTMENT ADVISORS, INCORPORATED

RIA

CRD#: 141533

Dallas, TX

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

Florida
(1/20/1998)

IAR

Texas
(6/28/2016)

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: 12/8/1997

Uniform Investment Adviser Law Examination

Current Firm

BROKAW RICE INVESTMENT ADVISORS, INCORPORATED

BROKAW INVESTMENT ADVISORS, INC. | BROKAW RICE INVESTMENT ADVISORS, INCORPORATED | BROKAW RICE INVESTMENT ADVISORS, INC.

CRD#: 141533 / SEC#:

Florida

Registered Investment Advisory firm - (1/25/1996 Approved)

Texas

Registered Investment Advisory firm - (6/28/2016 Approved)

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Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(908) 227-0014

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 6,189,359

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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Anna K. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Kay Brokaw Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROKAW RICE INVESTMENT ADVISORS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1997

Current Firm

BROKAW RICE INVESTMENT ADVISORS, INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BROKAW RICE INVESTMENT ADVISORS, INCORPORATED

TRUST BUT VERIFY

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