Fred Debow Rice

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → 05/2020
  Charles Schwab & Co., Inc.
  San Mateo, CA
• 09/2014 → 05/2020
  Charles Schwab Bank
  San Mateo, CA
• 06/2020 → 08/2020
  Unemployed
  San Jose, CA
• 09/2020 → 12/2020
  J.P. Morgan Chase Bank, N.A.
  San Jose, CA
• 09/2020 → 12/2020
  J.P. Morgan Securities, Llc
  San Jose, CA
• 12/2020 → 06/2022
  E*Trade Securities Llc
  Cupertino, CA
• 12/2020 → 06/2022
  E*Trade Capital Management Llc
  Cupertino, CA
• 06/2022 → 02/2024
  Royal Alliance Associates, Inc.
  Redwood City, CA
• 02/2024 → 09/2024
  Lpl Financial
  Redwood City, CA
• 02/2024 → 08/2024
  Stratos Wealth Partners, Ltd
  Redwood City, CA
• 03/2025 → Present
  Lpl Enterprise Llc
  San Jose, CA
• 10/2024 → 02/2025
  Unemployed
  San Jose, CA

Previous Registrations

• 2024-02-14 → 2024-08-19
  Stratos Wealth Partners, Ltd
  Redwood City, CA
• 2022-06-24 → 2024-02-15
  Osaic Wealth, Inc.
  Redwood City, CA
• 2022-01-05 → 2022-06-13
  Harrisdirect Llc
  Arlington, VA
  Cupertino, CA
• 2020-10-02 → 2021-12-11
  J.P. Morgan Securities Llc
  San Jose, CA
  San Jose, CA
• 2016-11-17 → 2020-06-16
  Charles Schwab & Co., Inc.
  Indianapolis, IN
  Los Gatos, CA
  Los Altos, CA
  San Mateo, CA

Other Businesses

1. 03/11/2025 - Prudential Advisors - OBA Type DBA for LPL Business (entity for LPL business) - INV REL - Burlingame, CA - Start Date 03/11/2025 - 160 HRS/MO 2. 03/11/2025 - N/A - Non-variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Burlingame, CA - Start Date 03/11/2025 - 160 HRS/MO

Exams

• S66 Uniform Combined State Law Examination
  2016-11-17
• S63 Uniform Securities Agent State Law Examination
  2015-05-01

Other Names

• Fred Debow Rice Iii
• Fred Debow Rice
• Fred Rice
• Fred D Rice
• Fred Debow Rice