Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Rivera is a financial advisor with over 25 years of experience in the industry. Michael has held positions at several prominent firms, including J.P. Morgan Securities LLC, UBS Financial Services Inc., and now Morgan Stanley. Michael has expertise in a wide range of financial services, including portfolio management, financial planning, and pension consulting. Michael is a registered representative in numerous states. Michael's commitment to providing personalized and comprehensive financial advice has earned him the trust and confidence of a diverse clientele, including high-net-worth individuals, families, 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.
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
04/17/2023 - Present
Morgan Stanley (New York NY)
NY
04/03/2017 - 03/07/2023
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
10/22/2010 - 04/05/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/14/2010 - 09/27/2010
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
01/22/2008 - 10/30/2008
J.P.MORGAN SECURITIES INC. (NEW YORK NY)
NY
11/29/2001 - 09/06/2007
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
NY
06/28/1999 - 05/15/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NJ
06/02/1997 - 05/22/1998
DLJDIRECT INC. (JERSEY CITY NJ)
NJ
07/01/1996 - 06/02/1997
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
12/09/1994 - 02/01/1996
UJB DISCOUNT BROKERAGE CO.
NY
05/11/1994 - 10/17/1994
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 02/18/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/06/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/30/2000
Series 14 - Compliance Officer Examination
BC
Issued 01/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/06/1997
Series 4 - Registered Options Principal Examination
BC
Issued 06/09/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/10/1994
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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