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Roger Louis Sherman-rivera

Alight Financial Solutions, LLC

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About Roger Louis Sherman-rivera

Roger Louis Sherman-rivera is a financial professional with over 27 years of experience in the industry. Roger Louis Sherman-rivera is currently registered with Alight Financial Solutions, LLC in Charlotte, NC. Roger Louis Sherman-rivera previously held positions at MML Investors Services, LLC, AXA Advisors, LLC, Santander Securities LLC, Doral Securities, Inc. and Government Development Bank for Puerto Rico Capital Fund.

Firm Information

Roger Sherman-rivera is currently registered with Alight Financial Solutions, LLC. Alight Financial Solutions, LLC is a Limited Liability Company formed in April 1994. The firm is registered with the SEC and in all 52 states.

Not reported

Assets Under Management

Not reported

Total Clients

53

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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Roger Sherman-rivera’s Registration & Firm History

NC

12/12/2019 - Present

Alight Financial Solutions, LLC (CHARLOTTE NC)

PR

05/15/2018 - 02/01/2019

MML INVESTORS SERVICES, LLC (SAN JUAN PR)

PR

04/29/2016 - 03/07/2018

AXA ADVISORS, LLC (HATO REY PR)

MA

11/28/2005 - 02/17/2016

SANTANDER SECURITIES LLC (BOSTON MA)

PR

12/02/1996 - 10/25/2005

DORAL SECURITIES, INC. (PUERTO NUEVO PR)

PR

04/18/1996 - 12/19/1996

GOVERNMENT DEVELOPMENT BANK FOR PUERTO RICO CAPITAL FUND (SANTURCE PR)

NA

12/10/1992 - 02/08/1995

CHASE SECURITIES (P.R.), INC.

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Licenses & Designations

BC

Issued 02/05/2014

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/23/2022

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/24/2003

Series 3 - National Commodity Futures Examination

BC

Issued 12/07/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Roger Louis Sherman-rivera. Review regulatory record here.
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