Full text of RICE SECURITIES, LLC's X-17A-5 filed 2024-03-07 (period 2023-12-31). 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-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 > SEC FILE NUMBER 8-39085 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 01/01/23 | | AND ENDING 12/31/23 | |------------------------------------------|----------|---------------------| | | MM/DD/YY | MM/DD/YY | A. REGISTRANT IDENTIFICATION # NAME OFFIRM: Rice Financial Products Company TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer \_\_ \_ Security-based swap dealer \_\_ \_ Major security-based swap participant O Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) ## 4325 Hillsboro Pike, Suite 300 | | (No. and Street) | | |----------------------------------------------|--------------------------------|-----------------------------| | Nashville | IN | 37215 | | (City) | (State) | (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 INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ## Crowe, LLP | | (Name - if individual, state last, first, and middle name) | | | |--------------------------------------------------|------------------------------------------------------------|---------|--------------------------------------------| | 485 Lexington Avenue | New York | NY | 10017 | | (Address) | (City) | (State) | (Zip Code) | | 9/24/2003 | | 173 | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | \* Claims for exemption from the requirement that the annual 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-5(e)(1)(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 OMB control number. {1}------------------------------------------------ #### OATH OR AFFIRMATION I, James Donald Ri…Read the full text as markdown