Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Xavier Rivera is a financial advisor at Morgan Stanley. Jose has been in the financial services industry since 2002. Jose is registered with the state of New York and is also licensed as a general securities representative, investment company products/variable contracts representative and holds a securities industry essentials examination. Jose's previous employers include J.P. MORGAN SECURITIES LLC, FSC SECURITIES CORPORATION, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, WELLS FARGO ADVISORS, LLC, AMERIPRISE FINANCIAL SERVICES, INC., FIFTH THIRD SECURITIES, INC., EDWARD JONES, UBS FINANCIAL SERVICES INC., WACHOVIA SECURITIES, LLC.
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.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
07/07/2020 - Present
Morgan Stanley (New York NY)
NY
10/17/2016 - 06/02/2020
J.P. MORGAN SECURITIES LLC (New York NY)
FL
04/04/2016 - 08/09/2016
FSC SECURITIES CORPORATION (CAPE CORAL FL)
FL
11/11/2015 - 03/22/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BONITA SPRINGS FL)
FL
04/22/2013 - 10/22/2015
WELLS FARGO ADVISORS, LLC (NAPLES FL)
FL
12/01/2010 - 03/22/2013
AMERIPRISE FINANCIAL SERVICES, INC. (FORT MYERS FL)
FL
06/01/2010 - 12/03/2010
FIFTH THIRD SECURITIES, INC. (NAPLES FL)
FL
08/24/2009 - 11/05/2009
EDWARD JONES (NORTH FT MYERS FL)
FL
03/13/2008 - 05/13/2009
UBS FINANCIAL SERVICES INC. (FORT MYERS FL)
FL
07/30/2002 - 01/17/2008
WACHOVIA SECURITIES, LLC (FORT MYERS FL)
IA
Issued 05/21/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2008
Series 7 - General Securities Representative Examination
BC
Issued 07/29/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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