Full text of RICE SECURITIES, LLC's X-17A-5 filed 2026-03-19 (period 2025-12-31). 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 0MB APPROVAL 0MB 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 lBa-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING **0 1/01 /25** AND ENDING **12/31 /25** MM/DD/YY MM/DD/VY A. REGISTRANT IDENTIFICATION NAME oF FIRM: Rice Financial Products Company TYPE OF REGISTRANT (check all applicable boxes): E!l Broker-dealer D Security-based swap dealer 0 Major security-based swap participant D 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 | TN | | 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 | | | (City) | (State) | (Zip Code) | | 9/24/2003 | | 173 | | | (Address)<br>(Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number if applicable) | • Claims for exemption from the requirement that the annual reports be covered by t he 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)(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 0MB control number. {1}------------------------------------------------ ### **OATH OR AFFIRMATION** | I, James Donald Rice Jr. | | | swear (or affirm) that, to the best o…Read the full text as markdown