Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Leon Rives is an investment advisor representative with Avantax Advisory Services. William has been in the industry for 26 years and has a Series 6, 7, 24 and 63 licenses as well as the SIE exam. William also has an active IA license in North Carolina. William Leon Rives is also a partner in Rives & Associates LLP, a tax preparation and accounting firm, and a partner in Rives Family Limited Partnership, a rental property owner/management company. William is also a board member of Wake Forest/Lexington Medical Center. William Leon Rives is committed to providing clients with comprehensive financial advice.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
NC
12/31/2001 - Present
Avantax Advisory Services (LEXINGTON NC)
IA
Issued 01/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/06/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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