Full text of RICE SECURITIES, LLC's X-17A-5 filed 2022-03-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** # **ANNUAL REPORTS FORM X-17A-S PART Ill** | 0 MB APPROVAL | | |--------------------------|--| | 0 MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response: 12 | | | SEC FI LE NUMBER | | |------------------|--| | 8-39085 | | | | __<br>___<br>2<br>1 | 1<br>1<br>2 | ___<br>1_<br>2<br>02_<br>1 | | |----------------------------------------------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|-----------------------------------------|-------------------------------------------|--| | FILING FOR THE PERIOD BEGINNING | o_l_/O_l_/2<br>_0<br>_<br>_<br>AND ENDING _<br>_<br>MM/DD/YY | | 31_<br>_<br>_<br>_<br>_<br>MM/DD/ VY | | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF Fl RM: ___ R_ | ic_e_Fi_n_a_n_c_ia_l _P_ro_d_u_c_t_s_c_o_m_p_a_n_Y ____________ | | _____<br>_ | | | TYPE OF REGISTRANT (check all applicable boxes):<br>[J() Broker-dealer<br>□ Check here if respondent is also an OTC derivatives dealer | D Security-based swap dealer | D Major security-based swap participant | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>4235 Hillsboro Pike, Suite 300 | | | | | | (No. and Street) | | | | | Nashville | TN | | 37215 | | | (City) | (Stat e) | | (Zip Code) | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Karen Nazzareno | 212-908-9219 | | Karen .nazzareno@ricefin.com | | | (Name) | (Area Code -Telephone Number) | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | Crowe, LLP | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | 9 Greenway Plaza | (Name - if individual, state last, first, and middle name)<br>Houston | TX | 77046 | | | | | (State) | (Zip Code) | | | (Address) | (City) | | | | | 9/24/2003 | | | 173 | | | rte<br>of Regi,tratioo with PCAOB)(if applicable) | | | (PCAOB Regl,t,atioo N,mbec, ,fapplicable) | | accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid 0MB control number.** {1}-…Read the full text as markdown