Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Deborah? Claim Your ProfileDeborah Rivas is a financial advisor with Robert W. Baird & Co. Inc. She is based in Houston, TX. Deborah has over 30 years of experience in the financial services industry. She holds the Series 63, Series 7, and SIE licenses. Deborah has been registered with the state of Texas since 2005. Deborah has worked for several firms during her career, including Legg Mason Wood Walker, Incorporated, Wachovia Securities, Inc., Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., Cowen & Co., Dillon, Read & Co. Inc., NATWEST SECURITIES CORPORATION, COUNTY NATWEST GLOBAL SECURITIES LIMITED, NATWEST CAPITAL MARKETS SECURITIES INC., and Manufacturers Hanover Securities Corporation. Deborah is a registered investment advisor representative and financial advisor. Deborah provides financial planning, investment management, and pension consulting services to individuals, businesses, and institutions.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
TX
09/12/2005 - Present
Robert W. Baird & Co. Inc. (Houston TX)
MD
03/05/2002 - 09/13/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NC
01/26/1999 - 06/30/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
06/29/1998 - 01/26/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
07/16/1996 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
10/31/1995 - 08/02/1996
COWEN & CO. (NEW YORK NY)
CT
07/30/1993 - 10/18/1995
DILLON, READ & CO. INC. (STAMFORD CT)
NY
12/02/1992 - 07/21/1993
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NA
05/06/1991 - 03/31/1993
COUNTY NATWEST GLOBAL SECURITIES LIMITED
NA
09/10/1991 - 09/02/1992
NATWEST CAPITAL MARKETS SECURITIES INC.
NA
08/18/1987 - 04/01/1991
MANUFACTURERS HANOVER SECURITIES CORPORATION
NA
09/21/1984 - 05/29/1987
KIDDER, PEABODY & CO. INCORPORATED
BC
Issued 09/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
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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