Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Alberto Rivera is a financial advisor with over 9 years of experience in the industry. Luis is currently registered with Wells Fargo Clearing Services, LLC and holds licenses Series 7, Series 9, Series 10, Series 66, and SIE. Before joining Wells Fargo Clearing Services, LLC, Luis was employed by Ameriprise Financial Services, LLC and Raymond James Financial Services, Inc.. Luis works with individuals, high-net-worth individuals, businesses, charitable organizations, pension and profit-sharing plans, and other institutional 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
NC
02/01/2024 - Present
Wells Fargo Clearing Services, LLC (WINSTON SALEM NC)
NC
07/28/2023 - 12/12/2023
RAYMOND JAMES FINANCIAL SERVICES, INC. (GREENSBORO NC)
NC
07/09/2021 - 08/03/2023
AMERIPRISE FINANCIAL SERVICES, LLC (Greensboro NC)
NC
09/12/2014 - 07/12/2021
WELLS FARGO CLEARING SERVICES, LLC (HIGH POINT NC)
BOTH
Issued 10/06/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/08/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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