Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rivera is a financial professional with over 10 years of experience in the industry. David is currently registered with Bofa Securities, Inc. in New York. David has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and BMO Capital Markets Corp. David holds several industry licenses including Series 63, 24, 79, 86, 87 and 7. David is committed to providing clients with personalized financial advice and guidance. David specializes in research-related 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.
Research-related 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.
Negotiated fees for research-related services
1
2
NY
05/10/2019 - Present
Bofa Securities, Inc. (NEW YORK NY)
NY
05/30/2013 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/17/2011 - 10/18/2012
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
BC
Issued 08/13/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 03/20/2012
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/20/2012
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 11/16/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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