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STEPHEN WAYNE RICE
STEVE WAYNE RICE
CRD#: 2922382
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2501 20TH PL S STE 350
BIRMINGHAM, AL 35223
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1997 - 2020 (22 years)2 FIRMS2020 - Present (4 years)
Disclosure(s)
View By:
4/3/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 6/17/2020

B
Nevada 6/13/2024

IA
Alabama 6/17/2020

B
New Hampshire 8/4/2022

B
Alaska 5/28/2024

B
New Jersey 12/14/2020

B
Arizona 6/19/2024

B
New York 6/16/2020

B
Arkansas 7/23/2020

B
North Carolina 6/16/2020

B
California 6/16/2020

B
Ohio 6/16/2020

B
Colorado 6/16/2020

B
Oklahoma 6/18/2020

B
Delaware 6/18/2020

B
Oregon 8/5/2020

B
District of Columbia 6/16/2020

B
Pennsylvania 7/2/2020

B
Florida 6/16/2020

B
South Carolina 6/16/2020

B
Georgia 6/16/2020

B
Tennessee 6/16/2020

B
Illinois 6/16/2020

B
Texas 6/16/2020

B
Indiana 5/27/2024

IA
Texas 6/16/2020

B
Kentucky 6/16/2020

B
Utah 6/18/2024

B
Louisiana 7/31/2023

B
Virginia 7/14/2020

B
Maine 6/16/2020

B
Washington 12/14/2020

B
Maryland 6/4/2024

B
West Virginia 10/13/2023

B
Massachusetts 6/16/2020

B
Wisconsin 5/28/2024

B
Mississippi 6/16/2020

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Registered with this firm since 6/16/2020

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2501 20TH PL S STE 350, BIRMINGHAM, AL 35223
Registered with this firm since 6/16/2020

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/12/1997 - 07/09/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) BIRMINGHAM, AL
B
09/10/1997 - 07/09/2020 UBS FINANCIAL SERVICES INC. (CRD#:8174) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.