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Philip Roesing Rice

Warm Springs Advisors Inc.

Larkspur, CA

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Current Employers
Warm Springs Advisors Inc.

80 E. Sir Francis Drake Blvd. Suite 4D, Larkspur, CA 94939 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-04-17
  • CA RA
    APPROVED
    Since 2025-04-17

Branch Locations

80 E. Sir Francis Drake Blvd. Suite 4D, Larkspur, CA 94939 • 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
Private Wealth Partners Mill Valley CA 03/2014 09/2019
Warm Springs Advisors, Inc. Larkspur CA 11/2019 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2020-01-02
S63 Uniform Securities Agent State Law Examination 2010-09-10
  • S65 Uniform Investment Adviser Law Examination
    2020-01-02
  • S63 Uniform Securities Agent State Law Examination
    2010-09-10

View on SEC IAPD

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