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Current Employers
Wealth Preservation Advisors, Llc

715 Market Street Suite 307, Chattanooga, TN 37402 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2014-03-28
  • TN RA
    APPROVED
    Since 2014-03-28

Branch Locations

715 Market Street Suite 307, Chattanooga, TN 37402 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wealth Preservation Advisors Chattanooga TN 03/2014 Present
  • 03/2014 → Present
    Wealth Preservation Advisors
    Chattanooga, TN
Previous Registrations
  • 2009-08-28 → 2014-04-02
    Louisville, KY
    Louisville, KY
  • 2008-10-01 → 2009-09-01
    Louisville, KY
  • 2008-03-25 → 2008-10-01
    J.P. Morgan Securities Inc.
    Louisville, KY
  • 2007-04-02 → 2008-03-26
    Morgan Stanley & Co. Llc
    Louisville, KY
  • 2006-10-17 → 2007-04-02
    Morgan Stanley Dw Inc.
    Louisville, KY
  • 1999-09-23 → 2006-05-25
    Morgan Stanley Dw Inc.
    Beachwood, OH
Other Businesses

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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-06
S63 Uniform Securities Agent State Law Examination 1997-10-23
  • S65 Uniform Investment Adviser Law Examination
    1997-11-06
  • S63 Uniform Securities Agent State Law Examination
    1997-10-23
Other Names
  • Gene Ray Rice
  • Eugene Ray Rice

View on SEC IAPD

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