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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Conway Rivard is a financial advisor with Morgan Stanley, a firm with a history of providing financial guidance. James has been a registered representative since February 10, 2000, with experience in various financial services. James is currently registered in 31 states, as well as in Alabama, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Indiana, Kansas, Maine, Maryland, Massachusetts, Michigan, Montana, Nebraska, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington, Wisconsin and Wyoming. James is an active member of the financial industry, holding Series 3, 7 and 63 licenses. James is also a qualified investment advisor, having passed the Series 65 exam. In addition to holding these industry qualifications, James has a long history of serving clients in various sectors including banking, insurance, high-net-worth individuals and pension plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MI
03/26/2020 - Present
Morgan Stanley (Birmingham MI)
MI
07/20/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BIRMINGHAM MI)
MI
02/10/2000 - 08/02/2007
CITIGROUP GLOBAL MARKETS INC. (SOUTHFIELD MI)
IA
Issued 02/22/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/2000
Series 3 - National Commodity Futures Examination
BC
Issued 02/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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