Philip Rice has been President and Chief Compliance Officer of Warm Springs Advisors since November 2019, is a control person of the firm and directly owns 75% or more of it.
Warm Springs Advisors Inc. is a Larkspur, CA firm with $131M under management, 15 clients and 1 adviser in one office, as of its February 2026 filing.
- Warm Springs Advisors Inc.Current– present · 6 yearsLarkspur, CA · Adviser representative · Firm CRD 306501
Investment adviser representative registrations
Philip Rice is registered as an investment adviser representative in California, since January 2020.
- CaliforniaSince 8 January 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 2 January 2020 |
| Series 63 | Uniform Securities Agent State Law Examination | 10 September 2010 |
| Series 7 | General Securities Representative Examination | 19 August 2008 |
| Series 3 | National Commodity Futures Examination | 24 September 1996 |
| Series 8 | General Securities Sales Supervisor Examination (Options Module & General Module) | 9 January 1996 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Sales Supervisor Examination (Options Module & General Module)
- Full name
- Philip Roesing Rice
- CRD
- 1757365
- Firm
- Warm Springs Advisors · CRD 306501
- Role
- President and Chief Compliance Officer
- Office
- 80 E. SIR FRANCIS DRAKE BLVD. SUITE 4D, Larkspur, CA 94939
- Registration
- Investment adviser registration
- In the industry since
- January 2020
- Disciplinary history
- Not yet shown here · SEC record
Where does Philip Rice work?
Philip Rice has been President and Chief Compliance Officer of Warm Springs Advisors Inc. since November 2019, and is a control person of the firm.
Is Philip Rice a financial advisor?
Yes. Philip Rice has a current investment-adviser registration in California, through Warm Springs Advisors since January 2020.
How many years of experience does Philip Rice have?
Philip Rice has 6 years in the financial industry, since January 2020, across 1 adviser firm.
What exams has Philip Rice passed?
Philip Rice has passed 5 licensing exams: the Series 8, Series 3, Series 7, Series 63 and Series 65. The earliest, the Series 8, was passed in January 1996.
Where is Philip Rice based?
Philip Rice’s registered office is in Larkspur, CA.
Is Philip Rice registered with FINRA?
No. Philip Rice has no current broker registration.
How can I verify Philip Rice’s record?
Search CRD 1757365 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Philip Rice’s full registration record.