Branch offices
0 offices
FINRA: Small firm
CRD #36700 · FINRA BrokerCheck + SEC IAPD
W R Rice Financial Services, Inc.
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W R Rice Financial Services, Inc. ranks #2,476 of 20,055 by disclosure count (most disclosures first). W R Rice Financial Services, Inc. carries 3 BrokerCheck disclosures across 0 branch offices - heavy load for a single-office firm, earning a Grade C.
- Grade C
- Safety grade
- 0
- branch offices
- 3
- disclosures
- #2,476 of 20,055
- disclosure rank · graded
FINRA BrokerCheck disclosure docket
CRD record 36700 W R Rice Financial Services, Inc.
W R Rice Financial Services, Inc. · Grade C · 3 disc · 3.00/office · Single-office firm
- CRD 36700
- GRADE C
- DISC 3
- REG 3
- ARB 0
- CIV 0
- BRANCH 0
- PER-OFF n/a
- RANK #2,476 of 20,055
- BOOK Single-office firm
Intensity peers
Nearest same-size peer: A. B. Culbertson and Company (3.00 disc/office)
W R Rice Financial Services, Inc. ranks #2,476 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →
PlainAdvisorCheck rating 3/5 - 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
Total disclosures
3 events
On FINRA BrokerCheck
Regulatory events
3 actions
100% of all disclosures
Disclosures per office
- per office
footprint not reported
Disclosure Breakdown
| Disclosure Type | Count |
|---|---|
| Regulatory Events | 3 |
| Arbitrations | 0 |
| Civil Events | 0 |
| Total | 3 |
Counts for W R Rice Financial Services, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.
Disclosure category share
Regulatory 3 Arbitration 0 Civil 0
Firm Details
- Firm Size
- Small
- Scope
- INACTIVE
- Formed
- 07/25/1994
- State of Formation
- Maine
- CRD Number
- 36700
- SEC Number
- 47396
Regulator-heavy mix
W R Rice Financial Services, Inc. in the heavier-disclosure third
W R Rice Financial Services, Inc. carries 3 BrokerCheck disclosures across 0 branch offices - a heavier-third raw book among graded firms (#2,476 of 20,055). Regulator-initiated events are 100% of the book (3 regulatory / 0 arbitration / 0 civil).
100% of W R Rice Financial Services, Inc.'s 3 disclosures are regulator-initiated (3 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational summary of W R Rice Financial Services, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
Where does W R Rice Financial Services, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, W R Rice Financial Services, Inc. ranks #2,476 of 20,055 by disclosure count (most disclosures first). 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 C mean for W R Rice Financial Services, Inc.?
A grade of C reflects W R Rice Financial Services, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (single-office firm). It carries 3 total disclosures across 0 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does W R Rice Financial Services, Inc. have?
W R Rice Financial Services, Inc. has 3 total FINRA disclosures, including 3 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is W R Rice Financial Services, Inc.?
W R Rice Financial Services, Inc. operates 0 branch offices and is classified by FINRA as a small firm (Single-office 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 W R Rice Financial Services, Inc.'s disciplinary record?
You can verify W R Rice Financial Services, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 36700. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid W R Rice Financial Services, Inc. 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. W R Rice Financial Services, Inc. carries 3 disclosures across 0 branch offices (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.
Read with this firm
- A. B. Culbertson and Company - 3.00 disclosures/office, nearest single-office firm peer to W R Rice Financial Services, Inc.'s 3.00
- A. Gary Shilling & Co., Inc. - 3.00 disclosures/office, nearest single-office firm peer to W R Rice Financial Services, Inc.'s 3.00
- Abner Herrman & Brock, LLC - 3.00 disclosures/office, nearest single-office firm peer to W R Rice Financial Services, Inc.'s 3.00
- Red Flags in Advisor Records - How to read W R Rice Financial Services, Inc.'s heavy load disclosure profile without over-reading raw counts.
- Reading BrokerCheck Reports - Parse the 3 disclosures behind W R Rice Financial Services, Inc.'s Grade C.
- Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as W R Rice Financial Services, Inc..
- Compare firms - put W R Rice Financial Services, Inc. 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.