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Rivers Herrington

Cetera Advisors LLC

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About Rivers Herrington

Rivers Herrington is a financial advisor with Cetera Advisors LLC, Cetera Advisor Networks LLC and Cetera Investment Services LLC. Rivers has over 20 years of experience in the financial services industry. Rivers has been registered with the Financial Industry Regulatory Authority (FINRA) since 1999. Rivers is also a registered investment advisor in California.

Firm Information

Rivers Herrington is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Rivers Herrington’s Registration & Firm History

CA

03/11/2015 - Present

Cetera Advisors LLC (SAN DIEGO CA)

CA

10/22/2003 - 09/08/2022

FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)

CA

03/11/2015 - 12/03/2019

SUMMIT BROKERAGE SERVICES, INC. (San Diego CA)

CA

06/19/2015 - 11/01/2017

GIRARD SECURITIES, INC. (SAN DIEGO CA)

CA

12/10/2015 - 12/31/2016

VSR FINANCIAL SERVICES, INC. (San Diego CA)

FL

03/11/2015 - 12/31/2016

LEGEND EQUITIES CORPORATION (PALM BEACH GARDENS FL)

MA

03/11/2015 - 12/19/2016

INVESTORS CAPITAL CORP. (LYNNFIELD MA)

NE

07/25/2000 - 10/16/2003

TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)

CA

05/28/1999 - 09/22/1999

HAMPTON-PORTER, INVESTMENT BANKERS, A CALIFORNIA LLC (SAN DIEGO CA)

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Licenses & Designations

BC

Issued 06/04/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/14/2004

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/27/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rivers Herrington.
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