Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Rivera is a financial professional with over 20 years of experience in the industry. Steven is currently registered with Northwestern Mutual Investment Services, LLC and is actively licensed in 21 states. Steven has held previous roles with firms such as Vanguard Marketing Corporation, TIAA-CREF Individual & Institutional Services, LLC, Edward Jones, Charles Schwab & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
WI
09/13/2023 - Present
Northwestern Mutual Investment Services, LLC (Milwaukee WI)
AZ
08/12/2020 - 10/27/2022
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
CO
07/13/2011 - 10/21/2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
MO
03/31/2005 - 07/31/2009
EDWARD JONES (ST LOUIS MO)
TX
01/12/2001 - 01/31/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
05/31/2000 - 10/04/2000
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
MA
10/08/1998 - 03/12/1999
LIBERTY FUNDS DISTRIBUTOR, INC. (BOSTON MA)
CO
11/23/1997 - 05/18/1998
ONE ORCHARD EQUITIES, INC. (GREENWOOD VILLAGE CO)
NY
06/10/1996 - 04/18/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
08/22/1994 - 02/16/1996
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BC
Issued 08/21/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/29/2005
Series 24 - General Securities Principal Examination
BC
Issued 08/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/11/2020
Series 7TO - General Securities Representative Examination
BC
Issued 03/03/2020
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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