CRD #21606 · FINRA BrokerCheck + SEC IAPD

Rice Financial Products Company

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rice Financial Products Company ranks #1,294 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #7 of 42 on the same disclosure sort used on the state browse page. Rice Financial Products Company carries 6 BrokerCheck disclosures across 8 branch offices - moderate load for a small firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
8
branch offices
6
disclosures
#1,294 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 21606 Rice Financial Products Company

Rice Financial Products Company · Grade B · 6 disc · 0.75/office · Small firm

  • CRD 21606
  • GRADE B
  • DISC 6
  • REG 6
  • ARB 0
  • CIV 0
  • BRANCH 8
  • PER-OFF 0.75
  • RANK #1,294 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Carl M. Hennig, Inc. (0.75 disc/office)

Carl M. Hennig, Inc.0.75Cohen & Company Securit…0.75Dorn & Co., Inc.0.75Rice Financial Prod… (this)0.75
Disclosures per office among small firm peers (lower is cleaner)

Rice Financial Products Company ranks #1,294 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.75 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

8 offices

FINRA: Small firm

Total disclosures

6 events

On FINRA BrokerCheck

Regulatory events

6 actions

100% of all disclosures

Disclosures per office

0.75 per office

6 ÷ 8 offices

Rice Financial Products Company vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 37% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). This entry sits in this band. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 6
Arbitrations 0
Civil Events 0
Total 6

Counts for Rice Financial Products Company reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 6 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
Nashville, TN
CRD Number
21606

Regulator-heavy mix

Rice Financial Products Company in the heavier-disclosure third

Rice Financial Products Company carries 6 BrokerCheck disclosures across 8 branch offices - a heavier-third raw book among graded firms (#1,294 of 20,055). Regulator-initiated events are 100% of the book (6 regulatory / 0 arbitration / 0 civil).

100% of Rice Financial Products Company's 6 disclosures are regulator-initiated (6 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Rice Financial Products Company's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Tennessee cohort · 1.84× state average

Rice Financial Products Company sits above the Tennessee disclosure average

Rice Financial Products Company reports 6 BrokerCheck disclosures, 1.84× the Tennessee average of 3.3 across 42 graded firms with a principal-office state on file.

In Tennessee, 23 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Tennessee state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Rice Financial Products Company sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Rice Financial Products Company ranks #1,294 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #7 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Rice Financial Products Company?
A grade of B reflects Rice Financial Products Company's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 6 total disclosures across 8 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Rice Financial Products Company have?
Rice Financial Products Company has 6 total FINRA disclosures, including 6 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Rice Financial Products Company?
Rice Financial Products Company operates 8 branch offices and is classified by FINRA as a small firm, registered in TN (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Rice Financial Products Company's disciplinary record?
You can verify Rice Financial Products Company's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 21606. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Rice Financial Products Company's 6 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Rice Financial Products Company because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Rice Financial Products Company carries 6 disclosures across 8 branch offices (about 0.75 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Rice Financial Products Company, both outside TN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Carl M. Hennig, Inc. (WI) - 0.75 disclosures/office, nearest small firm peer to Rice Financial Products Company's 0.75
  • Cohen & Company Securities, LLC (NY) - 0.75 disclosures/office, nearest small firm peer to Rice Financial Products Company's 0.75
  • Dorn & Co., Inc. (MN) - 0.75 disclosures/office, nearest small firm peer to Rice Financial Products Company's 0.75
  • Firms in TN - state roster that includes Rice Financial Products Company's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Rice Financial Products Company.
  • Reading BrokerCheck Reports - How Rice Financial Products Company's 0.75 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Rice Financial Products Company.
  • Compare firms - put Rice Financial Products Company next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.