Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlo? Claim Your ProfileCarlo Renato Rivera is a financial professional with over 20 years of experience in the industry. Carlo currently holds a Series 7, Series 63, Series 99TO and SIE license and is registered with Stonex Financial Inc. in New York. Carlo has previously worked for INTL FCSTONE CREDIT TRADING LLC, MORGAN STANLEY, GMP SECURITIES, LLC, FINACORP SECURITIES and INVESTMENT PLACEMENT GROUP. Carlo's expertise lies in investment advice and wealth management services.
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.
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.
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2
NY
04/25/2019 - Present
Stonex Financial Inc. (NEW YORK NY)
NY
04/29/2019 - 05/02/2019
INTL FCSTONE CREDIT TRADING LLC (NEW YORK NY)
TX
12/22/2015 - 04/17/2019
MORGAN STANLEY (AUSTIN TX)
TX
05/24/2004 - 11/16/2015
GMP SECURITIES, LLC (PLANO TX)
CA
07/25/2003 - 05/20/2004
FINACORP SECURITIES (IRVINE CA)
CA
11/25/2002 - 05/02/2003
INVESTMENT PLACEMENT GROUP (SAN DIEGO CA)
IA
Issued 01/21/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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