Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charlotte? Claim Your ProfileCharlotte Stevens Riviera is a registered representative with LPL Financial LLC. Charlotte has been in the industry since 1983. Prior to joining LPL Financial LLC, Charlotte has worked with several financial institutions, including McDonald Investments Inc., Key Investments Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Securities Inc., First Interstate Investments, Inc., PIM Financial Services, Inc., Consolidated Investment Services, Inc., and Waddell & Reed, Inc. Charlotte has a broad range of experience and holds Series 6, 7, 22 and 63 licenses along with the SIE and Series 65 exams. Charlotte has an active IA registration in Washington and is also a registered representative in Arizona, California, Colorado, District of Columbia, Idaho and Washington.
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.
Consulting and other non-discretionary advisory services
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.
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2
WA
05/08/2006 - Present
LPL Financial LLC (BELLEVUE WA)
OH
05/14/1999 - 03/02/2006
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
07/30/1998 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
NY
07/03/1997 - 06/12/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
08/19/1996 - 06/05/1997
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
11/02/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CA
11/28/1994 - 10/17/1995
PIM FINANCIAL SERVICES, INC. (SAN MARCOS CA)
CO
03/15/1985 - 11/28/1994
CONSOLIDATED INVESTMENT SERVICES, INC. (LITTLETON CO)
NA
06/03/1983 - 04/04/1985
WADDELL & REED, INC.
IA
Issued 08/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/02/1983
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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