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DR

Deborah A. Rivas

LOOP CAPITAL MARKETS LLC
Naples, FL
Some features on this profile are disabled
CRD#: 1301917
DR

Professional summary

Deborah Anne Rivas, who also goes by Debbie Rivas Mobley, Deborah Anne Mobley, Deborah Rivas Mobley, Debbie Anne Rivas, Debbie Rivas, is a registered financial professional currently at LOOP CAPITAL MARKETS LLC located in Naples, Florida.

Deborah is registered as a RR (Registered Representative) and started their career in finance in 1984. Deborah has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Debbie Rivas Mobley | Deborah Anne Mobley | Deborah Rivas Mobley | Debbie Anne Rivas | Debbie Rivas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Deborah Anne Rivas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 3, 2025 - Present

LOOP CAPITAL MARKETS LLC

RIA
BD
CRD#: 43098
Naples, FL
Past

September 12, 2005 - January 15, 2025

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Houston, TX
Past

March 5, 2002 - September 13, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

January 26, 1999 - June 30, 2000

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

June 29, 1998 - January 26, 1999

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 16, 1996 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

October 31, 1995 - August 2, 1996

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
NEW YORK, NY
Past

July 30, 1993 - October 18, 1995

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

December 2, 1992 - July 21, 1993

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

September 10, 1991 - September 2, 1992

NATWEST CAPITAL MARKETS SECURITIES INC.

BD
CRD#: 19718
Past

May 6, 1991 - March 31, 1993

COUNTY NATWEST GLOBAL SECURITIES LIMITED

BD
CRD#: 16212
Past

August 18, 1987 - April 1, 1991

MANUFACTURERS HANOVER SECURITIES CORPORATION

BD
CRD#: 14434
Past

September 21, 1984 - May 29, 1987

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/12/2025)
RR
Illinois
(2/12/2025)
RR
Louisiana
(2/12/2025)
RR
Minnesota
(2/12/2025)
RR
Mississippi
(2/12/2025)
RR
Tennessee
(2/12/2025)
RR
Texas
(2/12/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/26/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1984
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

LC
LOOP CAPITAL MARKETS LLC
LOOP CAPITAL MARKETS L.L.C. | LOOP CAPITAL MARKETS LLC

CRD#: 43098 / SEC#: , 8-50140

Illinois
Registered Investment Advisory firm - SEC (4/4/2012 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Mailing Address
425 S. Financial Place Ste 2700, Chicago, IL 60605
Phone number
(312) 913-4900
Established
Delaware since 06/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
LOOP CAPITAL, LLCOWNER
BERKELEY, STEPHEN SIDNEYREGULATORY COUNSEL AND CCO5616433
LUPKIN, IRA ADAMCHIEF FINANCIAL OFFICER4463446
REYNOLDS, JAMES JR.CHIEF EXECUTIVE OFFICER1162337
SULLIVAN, ANTHONYCHIEF OPERATING OFFICER5995264

Disclosures

Regulatory Event8

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LOOP CAPITAL MARKETS LLC

CRD#: 43098Naples, FL

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