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Stephen Manfred Rice

Rice Financial Consulting, Inc.

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About Stephen Manfred Rice

Stephen Manfred Rice is a financial advisor who has been in the industry since 1982. Stephen is registered with the Securities and Exchange Commission (SEC) as an investment advisor representative and is also registered with the state of California. Stephen is a Chartered Financial Consultant. He is currently employed at Rice Financial Consulting, Inc. where he spends most of his time managing the firm's portfolio. Stephen works with individual and high net worth clients and has managed $206,109,362 in client assets. Stephen also serves on the board of the Los Gatos Monte Sereno Police Foundation, a 501(c)(3) charitable organization.

Firm Information

Stephen Rice is currently registered with Rice Financial Consulting, Inc.. Rice Financial Consulting, Inc. is a financial consulting firm located in LOS GATOS, CA. The firm manages approximately $206,109,362 in assets for 337 clients. They provide selection of other advisors services and have a total of 4 employees.
Rice Financial Consulting, Inc.

300 E. MAIN STREET

LOS GATOS, CA 95030

$206.11M

Assets Under Management

Not reported

Total Clients

3

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Stephen Rice’s Registration & Firm History

CA

03/08/2016 - Present

Rice Financial Consulting, Inc. (LOS GATOS CA)

CA

10/06/2014 - 10/17/2014

PARK AVENUE SECURITIES LLC (LOS GATOS CA)

CA

05/03/1999 - 10/03/2014

PARK AVENUE SECURITIES LLC (LOS GATOS CA)

NY

12/23/1982 - 05/03/1999

GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)

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Licenses & Designations

IA

Issued 06/10/1998

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/26/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/17/2014

SIE - Securities Industry Essentials Examination

BC

Issued 07/30/1999

Series 7 - General Securities Representative Examination

BC

Issued 08/10/1983

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 12/22/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 4 public disclosures for Stephen Manfred Rice. Review regulatory record here.
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