Seth A. Rivers

KESTRA ADVISORY SERVICES

New York, NY 10016

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CRD#: 5922081

Professional summary

Seth Andrew Rivers, CFP®, who also goes by Seth A Rivers, Seth Rivers, Seth Andrew Rivers, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in New York, New York and KESTRA INVESTMENT SERVICES, LLC located in New York, New York.

Seth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Seth has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Seth A Rivers | Seth Rivers | Seth Andrew Rivers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) 3/28/2019 - Musician - The Big Shoe - 8 Chestnut Lane Newburgh NY 12550 2. BOARD OF DIRECTORS, HUDSON RIVERS HOUSING, 313 MILL STREET,, POUGHKEEPSIE, , NEW YORK, 12601, UNITED STATES OF AMERICA, FIDUCIARY CAPACITY, START DATE: 10/30/2023, HOURS PER MONTH: 0-5, HOURS DURING SECURITIES TRADING HOURS: 0-5, I WAS ASKED TO JOIN THE BOARD OF DIRECTORS AND POTENTIALLY THE FINANCE COMITTEE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Andrew Rivers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

March 11, 2025 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 475 Park Avenue Suite 2100, New York, NY 10016

RIA

CRD#: 7691

YORKTOWN HEIGHTS, NY

Past

May 13, 2014 - November 5, 2014

CRD#: 3978

BREWSTER, NY

Past

July 15, 2011 - January 15, 2013

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

NEWBURGH, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/7/2025)

California
(3/7/2025)

Colorado
(3/7/2025)

Connecticut
(3/7/2025)

Delaware
(3/7/2025)

District of Columbia
(3/7/2025)

Florida
(3/7/2025)

Georgia
(3/7/2025)

Idaho
(7/11/2025)

Illinois
(3/7/2025)

Iowa
(7/11/2025)

Maine
(3/7/2025)

Maryland
(10/30/2025)

Massachusetts
(3/7/2025)

Michigan
(3/7/2025)

Minnesota
(3/7/2025)

Missouri
(3/7/2025)

Nevada
(3/7/2025)

New Hampshire
(3/7/2025)

New Jersey
(3/7/2025)

New York
(3/7/2025)

IAR

New York
(3/11/2025)

North Carolina
(3/10/2025)

Ohio
(3/10/2025)

Pennsylvania
(3/7/2025)

Rhode Island
(3/7/2025)

South Carolina
(3/7/2025)

Tennessee
(3/7/2025)

Texas
(3/7/2025)

IAR

Texas
(3/11/2025)

Utah
(7/29/2025)

Vermont
(3/7/2025)

Virginia
(3/7/2025)

Washington
(3/7/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA

Registered Investment Advisory firm - (12/31/1998 Approved)

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Contact information

Main Address

5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

1,299

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)

KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts	155,482
AUM (Assets Under Management)	$ 60,174,309,829

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/20/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Seth A. Rivers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Seth Andrew Rivers's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

NYLIFE SECURITIES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MURPHY WEALTH MANAGEMENT GROUP

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OSAIC FA, INC.

OSAIC FA, INC.

OSAIC FA, INC.

OSAIC FA, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

KESTRA ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/14/2011

FINRA

Current Firm

KESTRA ADVISORY SERVICES, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KESTRA ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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