Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Vicky? Claim Your ProfileVicky Rivera is a financial advisor with over 10 years of experience in the financial industry. Vicky is registered with LPL Enterprise, LLC and is licensed to provide financial advice in California and South Carolina. Vicky has a wide range of experience in financial planning, portfolio management, and consulting services. Vicky previously worked at Farmers Financial Solutions, LLC and Pruco Securities, LLC. Vicky has passed the Series 6, Series 7, Series 24, Series 26, and Series 66 exams.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
A percentage of the total value of assets under management is charged.
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2
CA
10/07/2024 - Present
LPL Enterprise, LLC (Anaheim CA)
CA
01/22/2014 - 11/11/2016
FARMERS FINANCIAL SOLUTIONS, LLC (WESTMINSTER CA)
BOTH
Issued 07/15/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2024
Series 24 - General Securities Principal Examination
BC
Issued 04/30/2014
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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