Axel R. Rivera
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Axel Ricardo Rivera, who also goes by Axel R Rivera, Axel Ricardo Rivera, Axel Ricardo Rivera-leon, was a registered financial professional .
Axel is a previously registered financial professional and started their career in finance in 1988. Axel had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2017 - January 16, 2018
M. S. HOWELLS & CO.
August 28, 2013 - April 27, 2017
MORGAN STANLEY
December 10, 2004 - February 19, 2013
WELLS FARGO SECURITIES, LLC
January 28, 1998 - October 28, 2004
DORAL SECURITIES, INC.
May 5, 1994 - December 19, 1997
CITIGROUP GLOBAL MARKETS INC.
June 1, 1992 - April 19, 1994
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
December 11, 1989 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
December 23, 1988 - September 25, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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