Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Bruce? Claim Your ProfileBruce Rivera is a financial advisor who has been in the industry since 1998. Bruce Rivera currently works for Wells Fargo Clearing Services, LLC in Winter Park, FL. Bruce Rivera is registered to provide investment advice in 53 states and jurisdictions. Bruce Rivera holds the Series 6, 7, 63, and 66 licenses as well as the SIE designation. Bruce Rivera has experience working in the financial services industry for Wells Fargo Bank, Wells Fargo Clearing Services,LLC and Regions Bank.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
05/20/2019 - Present
Wells Fargo Clearing Services, LLC (WINTER PARK FL)
MO
10/01/2000 - 04/27/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
04/28/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 04/08/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/11/2019
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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