Unclaimed Profile

Stephen Manfred Rice

RICE FINANCIAL CONSULTING, INC.·LOS GATOS, California

SIE, Series 6, Series 7, Series 22, Series 63, Series 6525 years registeredRICE FINANCIAL CONSULTING, INC.

300 E. MAIN STREET, LOS GATOS, CA 95030CRD# 1064788Firm CRD# 170346

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Manfred Rice · LOS GATOS, CA

Registration

CRD #1064788 · RICE FINANCIAL CONSULTING, INC. · 25 years registered

Brand Profile

Not yet started

Career History

RICE FINANCIAL CONSULTING, INC.

Aug 2014 – present

PARK AVENUE SECURITIES LLC

Oct 2014 – Oct 2014

LOS GATOS, CA

INTEGRATED FINANCIAL & INSURANCE SERVICES

Feb 2003 – Dec 2004

SAN JOSE, CA

PARK AVENUE SECURITIES LLC

Jan 2001 – Oct 2014

LOS GATOS, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 22

Series 63

Series 65

Registration record

First registered · January 1, 2001

Years registered · 25

Disclosure History

2012Customer Dispute·Settled

2009Customer Dispute·Denied

2003Customer Dispute·Denied

4 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

RICE FINANCIAL CONSULTING, INC.

CRD 170346 · SEC 801-107140

AUM

$206M

Regulatory assets under management

Employees

337 client accounts

Services offered by RICE FINANCIAL CONSULTING, INC.

Per Form ADV

Security ratings or pricing services

View all advisors at RICE FINANCIAL CONSULTING, INC. →

Introduction

Speak with Stephen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Stephen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in LOS GATOS?

Browse all registered financial advisors in LOS GATOS, California or claim this profile if it's yours.

Browse LOS GATOS Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Stephen Manfred Rice offer?

Stephen Manfred Rice specializes in Fee-Only Advisory. Contact their office in LOS GATOS, California for a consultation.

What are Stephen Manfred Rice's credentials?

Stephen Manfred Rice is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Manfred Rice located?

Stephen Manfred Rice is based in LOS GATOS, California, working with RICE FINANCIAL CONSULTING, INC.. Their office serves clients in the LOS GATOS metropolitan area and surrounding communities.

How does Stephen Manfred Rice charge for services?

Stephen Manfred Rice's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is RICE FINANCIAL CONSULTING, INC.?

RICE FINANCIAL CONSULTING, INC. has approximately 3 employees and manages $206M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →