Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lacy? Claim Your ProfileLacy Dawn Rivera is a financial advisor who has been in the industry since August 17, 2021. Rivera is currently registered with LPL Financial LLC in Phoenix, Arizona. Rivera is Series 6, Series 63, and Series 6TO licensed and holds the SIE. Rivera has previous experience with Amsouth Investment Services, Inc. in Birmingham, Alabama, and Banc One Securities Corporation in Chicago, Illinois.
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.
Consulting and other non-discretionary advisory 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.
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
AZ
02/27/2023 - Present
LPL Financial LLC (Phoenix AZ)
AL
02/08/2005 - 10/17/2005
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
IL
01/22/2004 - 11/22/2004
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BC
Issued 05/04/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/15/2022
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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