Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Rivera is a registered representative with Vectorglobal WMG in Basking Ridge, NJ. Carlos has been in the industry since October 2, 1996. He holds a Series 7, 24, 63, and SIE licenses. Carlos previously worked for PALI CAPITAL, INC., ING PRIVATE WEALTH MANAGEMENT LLC, ING FINANCIAL MARKETS LLC, and BANORTE SECURITIES INTERNATIONAL, LTD.
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
NJ
04/01/2009 - Present
Vectorglobal WMG (Basking Ridge NJ)
NY
07/01/2008 - 04/27/2009
PALI CAPITAL, INC. (NEW YORK NY)
NY
01/05/2006 - 07/07/2008
ING PRIVATE WEALTH MANAGEMENT LLC (NEW YORK NY)
NY
12/02/2004 - 01/30/2006
ING FINANCIAL MARKETS LLC (NEW YORK NY)
TX
09/19/1996 - 11/17/2004
BANORTE SECURITIES INTERNATIONAL, LTD. (HOUSTON TX)
BC
Issued 11/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2001
Series 4 - Registered Options Principal Examination
BC
Issued 04/17/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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