William E. 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.
William Elmer Rice JR, who also goes by William Elmer Rice, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 5, PC, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2010 - March 27, 2015
MICHIGAN ADVISORS, INC
May 22, 2000 - March 27, 2015
BROADSTONE SECURITIES
February 21, 1995 - July 31, 2000
MEADOWBROOK SECURITIES INC.
July 31, 1993 - March 9, 1995
CITIGROUP GLOBAL MARKETS INC.
November 26, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
January 18, 1978 - November 26, 1979
LOEB PARTNERS
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
July 2, 1976 - January 4, 1977
LOEB, RHOADES & CO. INC.
September 25, 1974 - July 9, 1976
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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 55
Date: 9/17/1999
Limited Representative-Equity Trader ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
MICHIGAN ADVISORS, INC
CRD#: 124064 / SEC#: 801-69004
Contact information
Red Flags
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