Price C. Rivers
Professional summary
Price Clayton Rivers JR, who also goes by Price C Rivers, Price Clayton Rivers, is a registered financial professional currently at LPL ENTERPRISE, LLC located in Omaha, Nebraska.
Price is registered as a RR (Registered Representative) and started their career in finance in 1999. Price has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 55, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Price Clayton Rivers JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2026 - Present
LPL ENTERPRISE, LLC
Office #1: 13057 W. Center Rd. Suite 12, Omaha, NE 68144February 17, 2016 - March 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2016 - March 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 12, 2007 - August 22, 2007
MARINER WEALTH ADVISORS
February 26, 2007 - August 15, 2007
QA3 FINANCIAL CORP.
January 21, 2005 - October 24, 2006
AMERITAS INVESTMENT COMPANY, LLC
September 24, 2003 - October 31, 2003
THE ADVISORS GROUP, INC.
August 4, 2003 - October 24, 2006
AMERITAS INVESTMENT COMPANY, LLC
October 18, 2002 - July 24, 2003
AXOS CLEARING LLC
June 21, 2002 - October 18, 2002
KFS BD, INC.
November 13, 2000 - June 18, 2002
TD AMERITRADE CLEARING, INC.
February 26, 1999 - December 31, 2001
J.P. SECURITIES, INC.
Primary Firm SEC Registration
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 5/23/2026
General Securities Representative ExaminationSeries 55
Date: 2/28/2003
Limited Representative-Equity Trader ExamFINRA
Current Firm
LPL ENTERPRISE, LLC
CRD#: 8733 / SEC#: 801-130883, 8-26037
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Omaha, NE 68144TRUST BUT VERIFY
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