Full text of RICE SECURITIES, LLC's X-17A-5 filed 2023-03-30 (period 2022-12-31). 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** | 0MB APPROVAL | | |---------------------------|--| | 0MB Number: 3235-0123 | | | Expires: Oct. 31, 2023 | | | Estimated average burden | | | hours per response:<br>12 | | - ## **ANNUAL REPORTS FORM X-17A-S PART Ill** | | SEC FILE NUMBER | |--|-----------------| |--|-----------------| #### **FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING \_\_\_ o\_l\_/O\_l\_/\_20\_2 \_ 2 \_\_ AND EN DING \_ <sup>1</sup> \_2 \_ 1\_ 31\_1\_ 2\_ 02\_2 \_\_\_ \_ MM/00/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAME OF FIRM: \_\_\_ R\_i ce\_F\_in\_a\_n\_c\_i a\_l\_P\_ro\_d\_u\_c\_ts\_co\_m\_p\_a\_n\_v \_\_\_\_\_\_ ~---------- TYPE OF REGISTRANT (check alt applicable boxes): rn Broker-dealer O Security-based swap dealer 0 Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 4235 Hillsboro Pike, Suite 300 Nashville (City) ( No. and Street) TN (State) PERSON TO CONTACT WITH REGARD TO THIS FILING 37215 (Zip Code) Karen Nazzareno 212-908-9219 Karen.nazzareno@ri cefi n.com (Name) (Area Code - Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in thisfili ng\* Crowe, LLP (Name -if individual, state last, first, and middle name) 485 Lexington Avenue Floor 11 New York NY (Address) (City) (State) 9/24/2003 10017 (Zip Code) 173 (r1' of Reg'""'~" w;th PCAOnl(• applicable( **FOR OFFICIAL USE ONLY** (PCAOB Registratloo N,mbo,, ;f **•7** \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public 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 OMS control number.** {1}------------------------------------------------ #### **OATH OR AFFIRMATION** James Donald Rice Jr. I, ( sw1:;ar (o~ affirm) that, to the best of my knowledge and belief, the financial report pertaining to the firm of Rice Financial Products Company as of December 31 . \_\_\_\_\_\_\_\_\_\…Read the full text as markdown