Stephen M. Rice

RICE FINANCIAL CONSULTING

Los Gatos, CA 95030

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CRD#: 1064788

Professional summary

Stephen Manfred Rice, ChFC®, CLU® is a registered financial advisor currently at RICE FINANCIAL CONSULTING, INC. located in Los Gatos, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Manfred Rice's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

August 20, 2014 - Present

RICE FINANCIAL CONSULTING, INC.

Office #1: 300 E. Main Street, Los Gatos, CA 95030

RIA

CRD#: 170346

Los Gatos, CA

Past

October 7, 2014 - October 17, 2014

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

LOS GATOS, CA

Past

October 6, 2014 - October 17, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

LOS GATOS, CA

Past

February 19, 2003 - December 13, 2004

INTEGRATED FINANCIAL & INSURANCE SERVICES

RIA

CRD#: 123947

SAN JOSE, CA

Past

January 1, 2001 - October 3, 2014

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

LOS GATOS, CA

Past

May 3, 1999 - October 3, 2014

PARK AVENUE SECURITIES LLC

CRD#: 46173

LOS GATOS, CA

Past

December 23, 1982 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RICE FINANCIAL CONSULTING, INC.

RICE FINANCIAL CONSULTING, INC. | RICE, STEPHEN M

CRD#: 170346 / SEC#: 801-107140

RIA

Registered Investment Advisory firm - (1/28/2016 Approved)

California

Registered Investment Advisory firm - (3/2/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/20/2014)

IAR

Hawaii
(10/23/2014)

IAR

Texas
(3/8/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/10/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/17/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/1999

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/10/1983

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/22/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RICE FINANCIAL CONSULTING, INC.

RICE FINANCIAL CONSULTING, INC. | RICE, STEPHEN M

CRD#: 170346 / SEC#: 801-107140

RIA

Registered Investment Advisory firm - (1/28/2016 Approved)

California

Registered Investment Advisory firm - (3/2/2016 Terminated)

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Contact information

Main Address

300 E. Main Street, Los Gatos, CA 95030

Mailing Address

Phone number

(408) 354-3400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - RICE FINANCIAL (3/31/2025)

ADV PART 2B - STEPHEN RICE (3/31/2025)

ADV PART 2B - DOROTHY HUNDRIESER (3/31/2025)

Regulatory assets under management

Total Number of Accounts	348
AUM (Assets Under Management)	$ 230,702,789

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen M. Rice

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Manfred Rice's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

INTEGRATED FINANCIAL & INSURANCE SERVICES

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

RICE FINANCIAL CONSULTING, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/1998

Series 63

Date: 11/26/1997

SIE

Date: 10/17/2014

Series 7

Date: 7/30/1999

Series 22

Date: 8/10/1983

Series 6

Date: 12/22/1982

Current Firm

RICE FINANCIAL CONSULTING, INC.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RICE FINANCIAL CONSULTING, INC.

TRUST BUT VERIFY

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