Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joann? Claim Your ProfileJoann Rivera is a financial advisor with over 20 years of experience in the industry. Currently, she is registered with Guggenheim Securities, LLC in New York, NY. Previously, Joann worked at PFS Investments Inc. in Duluth, GA and Bear, Stearns & Co. Inc. in New York, NY. Joann holds a Series 7, Series 63, and SIE license and is registered in both Florida and 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.
1
2
NY
06/29/2009 - Present
Guggenheim Securities, LLC (NEW YORK NY)
GA
01/12/2009 - 06/24/2009
PFS INVESTMENTS INC. (DULUTH GA)
NY
09/10/2004 - 06/19/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CA
03/01/2004 - 08/20/2004
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
02/15/2001 - 02/27/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 02/13/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Joann Rivera is the right advisor for you? Invested Better is here to help.
