James C. Rivers
Professional summary
James Calvin Rivers JR, who also goes by James Calvin Jr Rivers, is a registered financial professional currently at CAPITAL MANAGEMENT OF THE CAROLINAS, LLC located in Charlotte, North Carolina.
James is registered as a RR (Registered Representative) and started their career in finance in 1982. James has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Calvin Rivers JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2001 - Present
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
Office #1: 1520 South Boulevard, Suite 230, Charlotte, NC 28203Office #2: 1520 South Boulevard, Suite 230, Charlotte, NC 28203November 3, 2000 - May 3, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
September 15, 1982 - October 25, 2000
STERLING CAPITAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/14/2001)
Exams
FINRA
Current Firm
CAPITAL MANAGEMENT OF THE CAROLINAS, LLC
CRD#: 110643 / SEC#: , 8-53149
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORIN, MICHAEL LEWIS | PARTNER/VICE PRESIDENT | 2951550 |
| RIVERS, JAMES CALVIN JR | PARTNER | 1067542 |
| THE KENNETH LEE CARTER, JR. REVOCABLE TRUST | TRUST | |
| DOUGLASS, REBECCA GENTRY | PARTNER | 1213829 |
| CARTER, KENNETH LEE JR | PARTNER/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/TRUSTEE | 2822127 |
| YAGER, SHERRI LYNN | CHIEF COMPLIANCE OFFICER | 2660363 |
Red Flags
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