Alfonso J. Riviezzo
Professional summary
Alfonso Joseph Riviezzo, who also goes by Al Joseph Riviezzo, Alfonso J Riviezzo, Alfonso Riviezzo, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas and NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Alfonso is registered as a RR (Registered Representative) and started their career in finance in 1992. Alfonso has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alfonso Joseph Riviezzo's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 1995 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262December 21, 2021 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262December 12, 1994 - January 6, 1995
PRIME CAPITAL SERVICES, INC.
September 14, 1992 - November 17, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 14, 1992 - November 17, 1994
SIGNATOR INVESTORS, INC.
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 8
Date: 10/27/1998
General Securities Sales Supervisor Examination (Options Module & General Module)BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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