Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Valerie? Claim Your ProfileValerie Pena Rivera is a financial advisor with Raymond James & Associates, Inc. in Palm Desert, California. Valerie has been in the financial services industry since December 2005. She holds Series 7, 31, and 66 licenses, as well as the Securities Industry Essentials Examination. Valerie is registered in multiple states across the country and provides financial planning, portfolio management, and other advisory services to individuals, businesses, and institutions. She is also an officer for Anchored to The Cross Ministries Inc.
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.
Please see note in schedule d - miscellaneous
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
CA
06/24/2014 - Present
Raymond James & Associates, Inc. (PALM DESERT CA)
CA
06/01/2009 - 07/07/2014
MORGAN STANLEY (PALM DESERT CA)
CA
10/30/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM DESERT CA)
CA
12/02/2005 - 11/06/2008
CITIGROUP GLOBAL MARKETS INC. (PALM DESERT CA)
BOTH
Issued 12/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/01/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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