William Roger Rice

Current Employers

Employment History

• 03/2012 → Present
  Wr Rice Financial Svcs, Llc
  Portland, ME
• 11/2012 → Present
  Sterne Agee And Leach, Inc.
  Birmingham, AL
• 02/2016 → Present
  Capital Wealth Planning Services, Llc
  Portland, ME

Previous Registrations

• 2012-03-19 → 2016-12-31
  Wr Rice Financial Svcs, Llc
  Portland, ME
• 2002-12-04 → 2012-09-24
  W R Rice Financial Services, Inc.
  Portland, ME
  Bay City, MI
  Owatonna, MN

Other Businesses

1) NAME OF OTHER BUS: NO NAME INVESTMENT RELATED: NO; 938 FOREST AVE. PORTLAND, ME. 04103 NATURE OF OTHER BUS: 4 INVESTMENT RENTAL PROPERTIES LOCATED IN THE GREATER PORTLAND MAINE AREA. MY POSITION/TITLE: OWNER START DATE: 10/1994 HRS/MONTH DEVOTED TO OTHER BUS: 5 HRS/MONTH DEVOTED DURING TRADING HRS: 0 DUTIES: PROPERTY & TENENT MGMT. 2) CO-TRUSTEE OF JEANNETTE RICE'S TRUST (RELATIONSHIP: MOTHER)| 592 TOwnhouse Road E. Waterboro, ME 04030| NATURE OF BUS: ASSIST W/FINANCIAL MGMT OF TRUST| INVESTMENT RELATED| CO-TRUSTEE| DUTIES: If invoked as Trustee, along with sister would be making financial decisions for mother and her estate. START DATE: 10/13/2010| HRS DEVOTED TO BUS: Currently 0 hours| HRS DEVOTED TO BUS/MARKET HOURS: Currently 0 hours. 3) POWER OF ATTORNEY FOR JEANNETTE RICE (RELATIONSHIP: MOTHER)| 22 SAND POINT LN CUMBERLAND FORESIDE, ME 04110| NATURE OF BUS: ASSIST WITH FINANCIAL MGMT OF TRUST| INVESTMENT RELATED| POWER OF ATTORNEY (IN THE EVENT IT IS NEEDED)| DUTIES: ALL ASPECTS OF ASSET MGMT WHEN NEEDED| START DATE: 8.29.2013| HRS DEVOTED TO BUS: 0 HOURS/MONTH| HRS DEVOTED TO BUS/MARKET HOURS: 0 HOURS/MONTH. 4) NAME OF BUS: Capital Wealth Planning Services, LLC Bus Address: 938 Forest Avenue, Portland ME 04103 Nature of Bus: Client Servicing, Advise, and Clerical Activities INVESTMENT RELATED? YES POSITION/TITLE: IAR Bus Duties: Investment Advisor Activities & clerical business activity START DATE: 02/24/2016 HRS DEVOTED TO BUS DURING: 8 hrs/day NON-TRADING HOURS: 8 hours per/day 5)WR Rice Financial Svcs LLC Collects trailer commissions from old business transferred from previous company-does not solicit new business. Investment related Owner/President Management related 05/25/2011 1/2 spent per month, 0 hrs spent during market hours

Exams

• S66 Uniform Combined State Law Examination
  2003-07-01
• S63 Uniform Securities Agent State Law Examination
  1993-02-04

Designations