Alexis J. Rivera
Professional summary
Alexis Jose Rivera was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alexis is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Alexis had worked at 4 firms, which includes GUNNALLEN FINANCIAL INC, TUSCANY EQUITY MANAGEMENT CORPORATI0N, CHATFIELD DEAN & CO. INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 1997 - September 12, 2005
GUNNALLEN FINANCIAL, INC
June 4, 1992 - March 31, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
November 27, 1990 - June 15, 1992
CHATFIELD DEAN & CO., INC.
May 21, 1987 - December 3, 1990
THE STUART-JAMES COMPANY, 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
Series 55
Date: 9/5/1998
Limited Representative-Equity Trader ExamCurrent Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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