James D. Rivenes
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.
James Dixon Rivenes was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 5 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 1, Series 53, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - April 28, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 28, 1997 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 6, 1977 - April 28, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 31, 1973 - February 26, 1977
E. WILBUR SAUNDERS
February 1, 1972 - September 9, 1973
E. F. HUTTON & COMPANY INC
April 20, 1970 - February 9, 1972
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 1
Date: 5/17/1961
Registered Representative ExaminationSeries 40
Date: 2/25/1977
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
