Kimberly RiversCRD Number: 2973157
Current Firm: Wells Fargo Clearing Services, LLC
Kimberly Rivers (CRD# 2973157) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Vero Beach, FL and has over 15 years of experience in the finance industry.
Lpl Financial LLC
Treasure Coast Financial Planning, Inc.
Nfp Advisor Services, LLC
|Wells Fargo Clearing Services, LLC||Sturat, FL||Nov 2016 - Current||1|
|Wells Fargo Advisors||Sturat, FL||Sep 2012 - Nov 2016||4|
|Ubs Financial Services Inc.||Stuart, FL||Dec 2002 - Sep 2012||9|
|Dean Witter||Stuart, FL||Sep 1997 - Sep 2012||15|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Mar 2003|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management409,716MILLIONS
Total Number of Accounts1,359,521ACCOUNTS
Average Account Value$301,368
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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