Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rivers is a financial advisor with over 15 years of experience in the industry. He has a Series 3, Series 7, Series 9, Series 10, Series 24, and Series 66 licenses. James is currently registered with United Capital Financial Advisors in Newport Beach, CA. He has previously worked with Mercer Allied Company, L.P. and Goldman Sachs & Co. LLC. James's specializations include providing financial planning, portfolio management, and pension consulting services to individuals, businesses, and institutional clients. James also owns Seek LLC, a health and wellness coaching company, and is a sub-advisor for other investment advisors. He is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Sub-adviser for other investment advisers
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/06/2020 - Present
United Capital Financial Advisors (Newport Beach CA)
CA
10/01/2020 - 11/21/2023
GOLDMAN SACHS & CO. LLC (NEWPORT BEACH CA)
CA
03/03/2014 - 11/21/2023
MERCER ALLIED COMPANY, L.P. (NEWPORT BEACH CA)
NY
01/09/2013 - 03/04/2014
GOLDMAN, SACHS & CO. (NEW YORK NY)
NJ
06/14/2007 - 01/16/2013
MERCER ALLIED COMPANY, L.P. (PARSIPPANY NJ)
BOTH
Issued 11/01/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/13/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/09/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/29/2013
Series 24 - General Securities Principal Examination
BC
Issued 12/21/2020
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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