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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 | 2014-10-23 |
| CA | RA | APPROVED | 2014-08-20 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rice Financial Consulting, Inc. | Los Gatos | CA | 09/2003 | Present |
STEPHEN MANFRED RICE SERVES ON THE BOARD, AND AS TREASURER, OF THE LOS GATOS MONTE SERENO POLICE FOUNDATION. THIS IS A 501C(3) CHARITABLE ORGANIZATION THAT RAISES FUNDS FOR "EXTRA" EQUIPMENT AND TRAINING FOR THE LOCAL POLICE DEPARTMENT. STEPHEN MANFRED RICE SPENDS ABOUT 2 HOURS PER MONTH ON THESE ACTIVITIES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-06-10 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-26 |
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