Douglas Duvall Rivelli
Professional Summary
Douglas Duvall Rivelli is a registered financial advisor currently at ANOS CAPITAL, LLC located in New York, New York. Douglas is registered as a RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 14 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ABEL NOSER, LLC. | ANOS CAPITAL, LLC | ANOS CAPITAL, L.L.C. | ABEL/NOSER, L.L.C.
Contact Information
Main Address
405 Lexington Avenue 9th Floor, New York, NY 10174Mailing Address
405 Lexington Avenue 9th Floor, New York, NY 10174Phone Number
(646) 432-4100Established
Delaware since 04/21/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
24FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/16/2019)
(7/17/2019)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2000Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2001About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Douglas Duvall Rivelli's CRS (Customer Relationship Summary).
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