FR
Fred D. Rice
LPL ENTERPRISE
SAN JOSE, CA 95110
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CRD#: 6403739
FR
Professional summary
Fred Debow Rice, who also goes by Fred Debow Rice III, Fred D Rice, Fred Debow Rice III, Fred Rice, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in San Jose, California.
Fred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Fred has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Fred Debow Rice Iii | Fred D Rice | Fred Debow Rice Iii | Fred Rice
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Fred Debow Rice's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fred Debow Rice's 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®
NoneExperience
Current
March 19, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Current
March 19, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1731 Technology Dr Suite 600, San Jose, CA 95110RIA
BD
CRD#: 8733
SAN JOSE, CA
Past
February 14, 2024 - August 19, 2024
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
REDWOOD CITY, CA
Past
February 14, 2024 - October 2, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
REDWOOD CITY, CA
Past
June 24, 2022 - February 15, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
REDWOOD CITY, CA
Past
June 24, 2022 - February 15, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
REDWOOD CITY, CA
Past
January 5, 2022 - June 13, 2022
HARRISDIRECT LLC
RIA
CRD#: 42159
CUPERTINO, CA
Past
January 4, 2022 - June 13, 2022
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CUPERTINO, CA
Past
October 2, 2020 - December 11, 2021
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SAN JOSE, CA
Past
October 2, 2020 - December 11, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN JOSE, CA
Past
November 17, 2016 - June 16, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
San Mateo, CA
Past
March 23, 2015 - June 16, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
San Mateo, CA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/19/2025)
IAR
California(3/19/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
