Fred Rice
Fred Rice is a registered investment advisor at LPL Enterprise, LLC, based in San Jose, CA, with 10 years of industry experience. Fred operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1731 Technology Dr, Suite 600, San Jose, CA, 95110
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Fred operates his LPL business under the DBA Prudential Advisors, dedicating full-time hours. He also works full-time in a non-variable insurance agency, selling non-variable insurance.
Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
LPL Financial LLCBroker
Stratos Wealth Partners, LTD
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
E*trade Capital Management, LLC
E*trade Securities LLCBroker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.