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Inactive

Maria Yates

Rice Financial Consulting, Inc.

Los Gatos, CA

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Current Employers
Rice Financial Consulting, Inc.

300 E. Main Street, Los Gatos, CA 95030 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-10
  • CA RA
    APPROVED
    Since 2025-03-10

Branch Locations

300 E. Main Street, Los Gatos, CA 95030 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rice Financial Consulting, Inc. Los Gatos CA 02/2022 Present
Rice Financial Consulting Los Gatos CA 06/2021 Present
Stephen Silver Fine Jewelry Company Redwood City CA 03/2021 07/2021
Children's Pre-School Palo Alto CA 04/2017 02/2021
Rice Financial Consulting Los Gatos CA 09/2016 04/2017
Numotion Sunnyvale CA 04/2016 09/2016
N/A Palo Alto CA 05/2013 Present
  • 02/2022 → Present
    Rice Financial Consulting, Inc.
    Los Gatos, CA
  • 06/2021 → Present
    Rice Financial Consulting
    Los Gatos, CA
  • 03/2021 → 07/2021
    Stephen Silver Fine Jewelry Company
    Redwood City, CA
  • 04/2017 → 02/2021
    Children's Pre-School
    Palo Alto, CA
  • 09/2016 → 04/2017
    Rice Financial Consulting
    Los Gatos, CA
  • 04/2016 → 09/2016
    Numotion
    Sunnyvale, CA
  • 05/2013 → Present
    N/A
    Palo Alto, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-01-11
  • S65 Uniform Investment Adviser Law Examination
    2025-01-11

View on SEC IAPD

Other Firms

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J.P. MORGAN SECURITIES LLC
REACT INVESTMENT SOLUTIONS, LLC
LEGACY CAPITAL GROUP CALIFORNIA, INC.
INTEGRITY ALLIANCE, LLC.
CHARLES SCHWAB & CO., INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LOS GATOS FINANCIAL LLC

Other Investors

HARRY SAPUTRA
JENNIFER TRAN
ZACHARY D. LEVY
MARCELA GUADALUPE GONZALEZ
JOYCE WONG IRMER
LUCAS ORME
DIEU TRAN
ELYSSA JOY QUILLA VERZOSA

Other Offices

STRATEGIC ADVISERS LLC · LOS GATOS, CA
J.P. MORGAN SECURITIES LLC · LOS GATOS, CA
REACT INVESTMENT SOLUTIONS, LLC · LOS GATOS, CA
LEGACY CAPITAL GROUP CALIFORNIA, INC. · LOS GATOS, CA
INTEGRITY ALLIANCE, LLC. · Los Gatos, CA
CHARLES SCHWAB & CO., INC. · Los Gatos, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS GATOS, CA
LOS GATOS FINANCIAL LLC · LOS GATOS, CA

More in Los Gatos, CA

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