Unclaimed Profile

James Francis Rivers

UNITED CAPITAL FINANCIAL ADVISORS, LLC·IRVING, Texas

SIE, Series 3, Series 7, Series 9, Series 10, Series 24, Series 66Clean record18 years registeredUNITED CAPITAL FINANCIAL ADVISORS, LLC

125 E JOHN CARPENTER FRWY, IRVING, TX 75062CRD# 4892283Firm CRD# 134600

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Francis Rivers · IRVING, TX

Registration

CRD #4892283 · UNITED CAPITAL FINANCIAL ADVISORS, LLC · 18 years registered

Brand Profile

Not yet started

Career History

UNITED CAPITAL FINANCIAL ADVISORS

Oct 2020 – present

THE AYCO COMPANY,L.P.

Mar 2014 – Oct 2020

IRVINE, CA

THE AYCO COMPANY,L.P.

Nov 2007 – Jan 2013

PARSIPPANY, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 3

Series 7

Series 9

Series 10

Series 24

Series 66

Registration record

First registered · November 2, 2007

Years registered · 18

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

UNITED CAPITAL FINANCIAL ADVISORS, LLC

CRD 134600 · SEC 801-64376

AUM

$17.7B

Regulatory assets under management

Employees

288

49,991 client accounts

Services offered by UNITED CAPITAL FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at UNITED CAPITAL FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does James Francis Rivers offer?

James Francis Rivers specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in IRVING, Texas for a consultation.

What are James Francis Rivers's credentials?

James Francis Rivers is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Francis Rivers located?

James Francis Rivers is based in IRVING, Texas, working with UNITED CAPITAL FINANCIAL ADVISORS, LLC. Their office serves clients in the IRVING metropolitan area and surrounding communities.

How does James Francis Rivers charge for services?

James Francis Rivers's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is UNITED CAPITAL FINANCIAL ADVISORS, LLC?

UNITED CAPITAL FINANCIAL ADVISORS, LLC has approximately 288 employees and manages $17.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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