Price C. Rivers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Price Clayton Rivers, who also goes by Price C Rivers, Price Clayton Rivers Jr, was a registered financial professional .
Price is a previously registered financial professional and started their career in finance in 1999. Price had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 55, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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 55
Date: 2/28/2003
Limited Representative-Equity Trader ExamCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
