# EDGAR Filing Document

**Accession Number:** 0000826550
**File Stem:** 0000826550-23-000002
**Filing Date:** 2023-3
**Character Count:** 2698
**Document Hash:** 17747e9a38e6bef70dbabe2f77d1307c
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000826550-23-000002.hdr.sgml**: 20230330

**ACCESSION NUMBER**: 0000826550-23-000002

**CONFORMED SUBMISSION TYPE**: X-17A-5

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230330

**DATE AS OF CHANGE**: 20230330

**EFFECTIVENESS DATE**: 20230330

**PERIOD START**: 20220101

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RICE SECURITIES, LLC
- **CENTRAL INDEX KEY:** 0000826550
- **IRS NUMBER:** 760238412
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** X-17A-5
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 008-39085
- **FILM NUMBER:** 23777738

**BUSINESS ADDRESS:**
- **STREET 1:** 4235 HILLSBORO PIKE
- **STREET 2:** SUITE 300
- **CITY:** NASHVILLE
- **STATE:** TN
- **ZIP:** 37215
- **BUSINESS PHONE:** 615-800-4090

**MAIL ADDRESS:**
- **STREET 1:** 3 COLUMBUS CIRCLE, 15TH FL
- **STREET 2:** 6TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** APEX SECURITIES, INC.
- **DATE OF NAME CHANGE:** 20090714

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RICE SECURITIES, LLC
- **DATE OF NAME CHANGE:** 20090626

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** APEX SECURITIES, INC.
- **DATE OF NAME CHANGE:** 20020614

### Attached PDF Documents

**Attachment 1:** `Publica.pdf`

_No text found in this document._

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM X-17A-5

### ANNUAL AUDITED REPORT

### Filer Information

**Filer CIK:** 0000826550

**Filer CCC:** XXXXXXXX

**Is this a LIVE or TEST filing?:** LIVE

**Would you like a Return Copy?:** Yes

### Submission Information

**Report Period Begin Date:** 01-01-2022

**Report Period End Date:** 12-31-2022

**Type of Registrant:** Broker-dealer

**Any material weaknesses identified?:** No

### Registrant Identification

**Name of Broker-Dealer:** RICE SECURITIES, LLC

**Business Address:** 4235 HILLSBORO PIKE, SUITE 300, NASHVILLE, TN, 37215

**Contact Person:** Karen Nazzareno

**Contact Phone:** 2129089219

### Independent Public Accountant Identification

**Accountant Name:** Crowe LLP

**Accountant Address:** 485 Lexington Avenue, FL 11, New York, NY, 10017

**Accountant Type:** Certified Public Accountant

### OATH OR AFFIRMATION

I, **James Donald Rice Jr.**, swear (or affirm) that, to the best of my knowledge and belief, the accompanying financial statements and supporting schedules pertaining to the firm of **RICE SECURITIES, LLC**, as of **12-31-2022**, are true and correct.

**Signature:** James Donald Rice Jr.

**Title:** Chairman/CEO/CCO

**Notarized:** Yes