Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Rivers is a financial advisor with over 10 years of experience in the industry. David has worked for several reputable firms including Pruco Securities, LLC, Citizens Securities, INC, Morgan Stanley, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. David is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds the Series 6, 7, 63, 66 and SIE licenses. David has experience in providing investment advice to individuals, corporations, and institutions. David focuses on providing investment advice and portfolio management services to a wide range of clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
PA
08/09/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PHILADELPHIA PA)
NJ
12/16/2021 - 08/02/2023
MORGAN STANLEY (Mount Laurel NJ)
PA
02/03/2020 - 11/30/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KING OF PRUSSIA PA)
PA
04/15/2016 - 04/17/2017
CITIZENS SECURITIES, INC. (PHILADELPHIA PA)
NJ
10/29/2012 - 12/16/2014
PRUCO SECURITIES, LLC. (MARLTON NJ)
BOTH
Issued 03/05/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/20/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/03/2020
Series 7TO - General Securities Representative Examination
BC
Issued 04/17/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Rivers is the right advisor for you? Invested Better is here to help.
