Manuel R. Rivera

FTI CAPITAL ADVISORS

New York, NY 10036

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CRD#: 2293706

Professional summary

Manuel Roderick Rivera, who also goes by Manuel Rivera, Rod Rivera, is a registered financial professional currently at FTI CAPITAL ADVISORS, LLC located in New York, New York.

Manuel is registered as a RR (Registered Representative) and started their career in finance in 1993. Manuel has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Manuel Rivera | Rod 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Manuel Roderick 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®

None

Experience

Current

January 30, 2023 - Present

FTI CAPITAL ADVISORS, LLC

Office #1: 1166 Ave Of The Americas 15th Floor, New York, NY 10036

CRD#: 123434

New York, NY

Past

May 16, 2018 - January 9, 2023

CAPSTONE PARTNERS

CRD#: 132185

BOSTON, MA

Past

October 17, 2014 - November 14, 2018

HEADWATERS BD, LLC

CRD#: 117042

DENVER, CO

Past

December 7, 2011 - March 24, 2014

CITIZENS SECURITIES, INC.

CRD#: 39550

STAMFORD, CT

Past

February 9, 2009 - August 20, 2010

DRESNER INVESTMENT SERVICES, INC.

CRD#: 35145

CHICAGO, IL

Past

April 21, 2006 - October 2, 2008

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

October 15, 2001 - April 12, 2006

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

November 3, 2000 - May 22, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

February 29, 1996 - May 22, 2001

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 20, 1993 - March 21, 1996

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

State Registrations and Notice Filings

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

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

Colorado
(1/30/2023)

Connecticut
(2/1/2023)

Delaware
(4/11/2025)

Florida
(2/1/2023)

Maryland
(2/1/2023)

New Jersey
(2/1/2023)

New York
(2/1/2023)

Texas
(4/11/2025)

Washington
(2/1/2023)

Exams

State Security Law Exam

Series 63

Date: 12/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/8/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FTI CAPITAL ADVISORS, LLC

FTI CAPITAL ADVISORS, LLC | FTI MERGER & ACQUISITION ADVISORS, LLC

CRD#: 123434 / SEC#: , 8-65587

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

555 12th Street, Nw 7th Floor, Washington, DC 20004

Mailing Address

555 12th Street, Nw 7th Floor, Washington, DC 20004

Phone number

+1 (202) 674-0821

Established

Maryland since 07/22/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FTI CONSULTING, INC.	OWNER
BOGUSHEFSKY, JEFFREY CHARLES	VICE PRESIDENT & FINOP	5411106
CRITTENDEN, JOHN CHEROKEE III	CCO / COO	1274733
EATON, CHARLES WALTER III	DEPUTY FINOP	7906108
ROSENTHALL, MICHAEL JAMES	SECRETARY	6933951
TOBIAS, GLENN RICHARD	CEO	5990465

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Manuel R. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Manuel Roderick Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPSTONE PARTNERS

HEADWATERS BD, LLC

CITIZENS SECURITIES, INC.

DRESNER INVESTMENT SERVICES, INC.

JEFFERIES LLC

CIBC WORLD MARKETS CORP.

PERSHING LLC

CREDIT SUISSE SECURITIES (USA) LLC

CITICORP SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/23/1994

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/1993

Series 24

Date: 7/8/1998

FINRA

Current Firm

FTI CAPITAL ADVISORS, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FTI CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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