Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Via? Claim Your ProfileVia Rivera is a financial advisor who is registered with Wells Fargo Clearing Services, LLC. Via has been in the financial industry since 2014 and has a broad range of experience in providing investment advice to individual and institutional clients. Via is registered in 40 states, and has experience in providing investment advice in various sectors. Via is committed to helping clients achieve their financial goals through a comprehensive approach to financial planning. Via’s professional designations include Series 66, Series 10 and Series 9. In addition to working at Wells Fargo Clearing Services, LLC, Via also operates a rental property in Westfield, MA.
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.
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.
Investment consulting services to institutional clients
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
MA
02/03/2022 - Present
Wells Fargo Clearing Services, LLC (BOSTON MA)
MA
01/29/2021 - 01/18/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SPRINGFIELD MA)
MA
05/21/2014 - 01/14/2021
WELLS FARGO CLEARING SERVICES, LLC (NORTHAMPTON MA)
BOTH
Issued 10/23/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/10/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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