Stephen Rice, financial advisor Los Gatos CA

Stephen Rice

CRD Number: 1064788
Current Firm: Rice Financial Consulting, Inc.

Stephen Rice (CRD# 1064788) is an Investment Advisor Representative working at Rice Financial Consulting, Inc. in Los Gatos, CA and has over 26 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Rice Financial Consulting, Inc. Los Gatos, CA Sep 2003 - Current 20
Guardian Life Insurance Co Of America Los Gatos, CA Apr 2010 - Oct 2014 4
Park Avenue Securities LLC Los Gatos, CA May 1999 - Oct 2014 15
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1997
S65 NASAA Investment Advisors Law Examination Jun 1998
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Stephen M. Rice
Phone Number: (408) 354-3400
Firm Website: http://www.ricefc.com
Registered State(s):
  • CA
  • HI
  • TX
By the Numbers
  • Total Assets Under Management
    175
    MILLIONS
  • Total Number of Accounts
    324
    ACCOUNTS
  • Average Account Value
    $541,210
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

CA, HI, TX

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