Diane B. Rice

READ & POWELL FINANCIAL SERVICES

ELKO, NV 89801

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CRD#: 4252745

Professional summary

Diane B. Rice, who also goes by Diane B. Billington/beitia, is a registered financial advisor currently at READ & POWELL FINANCIAL SERVICES, LLC located in Elko, Nevada.

Diane is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Diane has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Diane B. Billington/beitia

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) - RIA

Click below to view Diane B. 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

January 4, 2012 - Present

READ & POWELL FINANCIAL SERVICES, LLC

Office #1: 491 Fifth Street, Elko, NV 89801

RIA

CRD#: 130189

ELKO, NV

Past

January 3, 2011 - November 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ELKO, NV

Past

January 3, 2011 - November 7, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ELKO, NV

Past

February 7, 2005 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

ELKO, NV

Past

May 2, 2001 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

ELKO, NV

Past

August 24, 2000 - May 2, 2001

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

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".

READ & POWELL FINANCIAL SERVICES, LLC

CRD#: 130189 / SEC#: 801-121309

RIA

Registered Investment Advisory firm - (5/26/2021 Approved)

Idaho

Registered Investment Advisory firm - (8/2/2021 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Nevada
(1/4/2012)

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 66

Date: 9/28/2000

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/23/2000

General Securities Representative Examination

Current Firm

READ & POWELL FINANCIAL SERVICES, LLC

CRD#: 130189 / SEC#: 801-121309

RIA

Registered Investment Advisory firm - (5/26/2021 Approved)

Idaho

Registered Investment Advisory firm - (8/2/2021 Terminated)

Nevada

Registered Investment Advisory firm - (9/20/2021 Terminated)

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Contact information

Main Address

491 5th Street, Elko, NV 89801

Mailing Address

Phone number

(775) 738-4430

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

READ AND POWELL ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts	598
AUM (Assets Under Management)	$ 146,673,084

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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Firm Stability Insights

Diane B. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diane B. Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

READ & POWELL FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO SECURITIES INC.

Primary Firm SEC Registration

READ & POWELL FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/2000

Series 7

Date: 8/23/2000

Current Firm

READ & POWELL FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

READ & POWELL FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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