James Francis Rivers

Current Employers

Employment History

• 03/2014 → 10/2020
  The Ayco Company, L.P./Mercer Allied
  Irvine, CA
• 10/2020 → Present
  United Capital Financial Advisers, Llc
  Newport Beach, CA
• 02/2024 → Present
  Lion Street Financial
  Newport Beach, CA
• 11/2025 → Present
  Integrity Alliance, Llc.
  Newport Beach, CA

Previous Registrations

• 2014-03-03 → 2020-10-06
  Goldman Sachs Wealth Services, L.P.
  Irvine, CA
• 2007-11-02 → 2013-01-16
  Goldman Sachs Wealth Services, L.P.
  Parsippany, NJ

Other Businesses

1.SEEK LLC POSITION: Owner NATURE: My wife has a health coaching company. I own 50%. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 27826 Golden Ridge Lane, San Juan Capistrano CA 92675-5418, United States DESCRIPTION: I am an 50% owner and talk to my wife about strategy of the business which is in health coaching. 2.UNITED CAPITAL FINANCIAL ADVISORS, LLC POSITION: Employee NATURE: Investment management and financial planning INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/07/2006 ADDRESS: 620 NEWPORT CENTER DR, STE 550, NEWPORT BEACH CA 92660-8052, United States DESCRIPTION: President 3.UNITED CAPITAL RISK MANAGEMENT, LLC POSITION: Insurance Agent NATURE: Insurance agency used for processing fixed insurance and annuity business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/07/2006 ADDRESS: 620 NEWPORT CENTER DR, STE 550, NEWPORT BEACH CA 92660-8052, United States DESCRIPTION: President

Exams

• S66 Uniform Combined State Law Examination
  2007-11-01

Other Names

• James Francis Rivers