Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Michael Rice is a financial advisor with over 29 years of experience in the industry. Stephen has a Series 6, Series 63 and SIE licenses. Stephen has a strong history of working at reputable firms like AXA Advisors, LLC and MONY Securities Corporation. Stephen currently works with LPL Financial LLC and is registered with the state of Arkansas, California, Florida, Georgia, Hawaii, Idaho, Indiana, Kansas, Kentucky, Massachusetts, Michigan, Missouri, Nevada, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas and Washington. Stephen is a dedicated professional who is passionate about helping individuals and families reach their financial goals.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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KY
06/03/2024 - Present
LPL Financial LLC (ELIZABETHTOWN KY)
KY
01/19/2024 - 06/06/2024
OSAIC WEALTH, INC. (ELIZABETHTOWN KY)
KY
02/28/2006 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (ELIZABETHTOWN KY)
NY
06/01/2005 - 03/15/2006
AXA ADVISORS, LLC (NEW YORK NY)
NY
11/25/1994 - 06/01/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 11/30/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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