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Rice Financial Consulting, Inc. CRD 170346
$287M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
300 E. Main Street, Los Gatos, CA 95030 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-03-08 |
| HI | RA | APPROVED | 2014-08-25 |
| CA | RA | APPROVED | 2014-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rice Financial Consulting, Inc. | Los Gatos | CA | 08/2014 | Present |
DOROTHY JANET HUNDRIESER SPENDS ONE HOUR PER MONTH DOING BOOKKEEPING FOR A DENTIST. RICE FINANCIAL CONSULTING, INC. ALWAYS ACTS IN THE BEST INTEREST OF THE CLIENT AND CLIENTS ARE IN NO WAY REQUIRED TO UTILIZE THE SERVICES OF ANY REPRESENTATIVE OF RICE FINANCIAL CONSULTING, INC. IN SUCH INDIVIDUAL'S OUTSIDE CAPACITIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2010-11-23 |
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