Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Rivas is a financial advisor in CREVE COEUR, MO. Carlos has been in the industry since October 2003 and is currently registered with Cetera Investment Advisers LLC. Carlos has experience working with clients at PNC Investments, Wells Fargo Advisors, LLC, OneAmerica Securities, Inc., NatCity Investments, Inc., A. G. Edwards & Sons, Inc., Park Avenue Securities LLC, MetLife Securities Inc., and Metropolitan Life Insurance Company. Carlos specializes in financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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MO
01/21/2014 - Present
Cetera Investment Advisers LLC (CREVE COEUR MO)
MO
01/04/2012 - 02/12/2013
PNC INVESTMENTS (O'FALLON MO)
MO
09/12/2008 - 12/02/2011
WELLS FARGO ADVISORS, LLC (ST. LOUIS MO)
MO
07/09/2007 - 04/14/2008
ONEAMERICA SECURITIES, INC. (ST LOUIS MO)
MO
08/01/2005 - 06/19/2006
NATCITY INVESTMENTS, INC. (ST. LOUIS MO)
MO
10/03/2003 - 05/20/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IN
07/01/2003 - 10/10/2003
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
NY
12/12/2002 - 07/15/2003
PARK AVENUE SECURITIES LLC (NEW YORK NY)
MA
08/10/2001 - 10/07/2002
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
08/10/2001 - 10/07/2002
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 2/18/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/7/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/10/2003
Series 7 - General Securities Representative Examination
BC
Issued 8/9/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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