Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Rivero is a securities professional with over 18 years of experience in the financial services industry. Carlos is currently registered with Santander US Capital Markets LLC, where they began working on February 6, 2023. Prior to joining Santander US Capital Markets LLC, Carlos was previously employed by Santander Investment Securities Inc., Guggenheim Securities, LLC, and UBS Securities LLC. Carlos holds the Series 7, Series 63, Series 79TO, and SIE licenses. They are currently registered in New York.
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
02/06/2023 - Present
Santander US Capital Markets LLC (NEW YORK NY)
NY
10/05/2022 - 02/06/2023
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
NY
11/01/2016 - 10/06/2022
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
08/31/2004 - 09/01/2016
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 01/13/2017
Series 63 - Uniform Securities Agent State Law 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 08/30/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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