RR
Richard T. Rivera
DICK RIVERA & ASSOCIATES
PENSACOLA BEACH, FL 32561
Some features on this profile are disabled
CRD#: 1397820
RR
Professional summary
Richard Thomas Rivera, CFP®, who also goes by Dick Rivera, is a registered financial advisor currently at DICK RIVERA & ASSOCIATES located in Pensacola Beach, Florida and CALTON & ASSOCIATES, INC. located in Pensacola Beach, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dick Rivera
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.
1) Name of Business: Dick Rivera & Associates, DBA Investment Advisor Representative. Investment related. Address: 5 Portofino Suite 1803 Pensacola Beach, FL 32561. Nature of Business: Investment Advisor. Position/Title/Relationship: Owner. Start Date: 01/01/1991. Hours per month: 120. Hours per month during Securities trading hours: 120. Duties/Responsibilities: President/Investment Advisor Representative. 2) Name of Business: Licensed Insurance Agent, Richard Rivera. Investment related. Address: 5 Portofino Suite 1803 Pensacola Beach, FL 32561. Nature of Business: Life and Health Insurance. Position/Title/Relationship: Owner. Start Date: 01/14/1987. Hours per month: 2. Hours per month during Securities trading hours: 2. Duties/Responsibilities: Insurance sales through various insurance companies. 3) Name of Business: Cell Gen Therapeutics, LLC. Non-Investment related. Address: 5 Portofino Suite 1803 Pensacola Beach, FL 32561. Nature of Business: Therapeutic laser sales. Position/Title/Relationship: Member/Manager. Start Date: 12/21/2007. Hours per month: 5. Hours per month during Securities trading hours: 5. Duties/Responsibilities: Manage business/Therapeutic sales. 4) Name of Business: Richard Rivera Sole Proprietor. Non-Investment related. Address: 5 Portofino Drive Suite 2007 Gulf Breeze, FL 32561. Nature of Business: Office Rental. Position/Title/Relationship: Owner. Start Date: 12/01/2022. Hours per month: 1. Hours per month during Securities trading hours: 0. Duties/Responsibilities: Rent office space
CRS (Client Relationship Summary) - RIA
Click below to view Richard Thomas Rivera's 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®
Experience
Current
March 22, 2016 - Present
DICK RIVERA & ASSOCIATES
Office #1: 5 Portofino Dr. Suite 1803, Pensacola Beach, FL 32561RIA
CRD#: 114409
PENSACOLA BEACH, FL
Current
June 30, 2008 - Present
CALTON & ASSOCIATES, INC.
Office #1: 5 Portofino Drive Suite 1803, Pensacola Beach, FL 32561RIA
BD
CRD#: 20999
Pensacola Beach, FL
Past
November 15, 1991 - January 6, 2005
MOMENTUM INDEPENDENT NETWORK INC.
RIA
CRD#: 17587
DALLAS, TX
Past
November 15, 1991 - July 1, 2008
MOMENTUM INDEPENDENT NETWORK INC.
BD
CRD#: 17587
DALLAS, TX
Past
October 16, 1986 - November 21, 1991
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
April 21, 1986 - October 23, 1986
PFS INVESTMENTS INC.
BD
CRD#: 10111
Past
August 21, 1985 - December 27, 1985
BROKERS EXCHANGE, INC.
BD
CRD#: 7894
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
DR
DICK RIVERA & ASSOCIATES
DICK RIVERA & ASSOCIATES | RIVERA, RICHARD THOMAS | DICK RIVERA & ASSOCIATES, LLC
CRD#: 114409 / SEC#: 801-112979
RIA
Registered Investment Advisory firm - (4/26/2018 Approved)Texas
Registered Investment Advisory firm - (5/3/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arkansas(6/30/2008)
RR
Colorado(6/30/2008)
RR
Florida(6/29/2011)
IAR
Florida(10/28/2024)
RR
Illinois(1/16/2009)
RR
Indiana(6/30/2008)
RR
Massachusetts(11/11/2008)
RR
North Carolina(6/30/2008)
RR
Ohio(1/2/2022)
RR
Oklahoma(6/30/2008)
RR
Texas(6/30/2008)
IAR
Texas(3/22/2016)
RR
Virginia(6/30/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
DR
DICK RIVERA & ASSOCIATES
DICK RIVERA & ASSOCIATES | RIVERA, RICHARD THOMAS | DICK RIVERA & ASSOCIATES, LLC
CRD#: 114409 / SEC#: 801-112979
RIA
Registered Investment Advisory firm - (4/26/2018 Approved)Texas
Registered Investment Advisory firm - (5/3/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5 Portofino Dr. Suite 1803, Pensacola Beach, FL 32561
Mailing Address
Phone number
(972) 380-9550
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 263 |
| AUM (Assets Under Management) | $ 155,033,007 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
