Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Calvin Rivers has over 40 years of experience in the financial industry. James is currently registered with Capital Management of the Carolinas, LLC in Charlotte, NC. Prior to this, James was with Fidelity Investments Institutional Services Company, Inc. and Sterling Capital Distributors, Inc. James is licensed to sell securities in North Carolina.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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NC
05/11/2001 - Present
Capital Management OF THE Carolinas, LLC (CHARLOTTE NC)
RI
11/03/2000 - 05/03/2001
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
NC
09/15/1982 - 10/25/2000
STERLING CAPITAL DISTRIBUTORS, INC. (CHARLOTTE NC)
BC
Issued 05/13/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/1992
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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