Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Wayne Rice is a financial advisor with over 25 years of experience in the industry. Stephen is currently registered with Wells Fargo Clearing Services, LLC in Alabama and Texas. Prior to joining Wells Fargo, Stephen worked for UBS Financial Services Inc. in Birmingham, AL. Stephen holds Series 7, 63 and 65 licenses, as well as the SIE exam. Stephen specializes in providing investment consulting services to institutional clients, financial planning, portfolio management for individuals and businesses, and pension consulting. Stephen is also a member of the investment committee at the Alabama Institute for the Deaf and Blind and is a 50% owner of Green Valley Investment Group, LLC.
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.
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.
Investment consulting services to institutional clients
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.
1
2
AL
06/16/2020 - Present
Wells Fargo Clearing Services, LLC (BIRMINGHAM AL)
AL
09/10/1997 - 07/09/2020
UBS FINANCIAL SERVICES INC. (BIRMINGHAM AL)
IA
Issued 10/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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