Steven J. Rivera
Professional summary
Steven J Rivera, who also goes by Steven Joe Rivera, Steven Rivera, is a registered financial professional currently at FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven J Rivera's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 11, 2026 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109September 13, 2023 - December 16, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 12, 2020 - October 27, 2022
VANGUARD MARKETING CORPORATION
July 13, 2011 - October 21, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 31, 2005 - July 31, 2009
EDWARD JONES
January 12, 2001 - January 31, 2005
CHARLES SCHWAB & CO., INC.
May 31, 2000 - October 4, 2000
INVESCO DISTRIBUTORS, INC.
October 8, 1998 - March 12, 1999
BOFA DISTRIBUTORS, INC.
November 23, 1997 - May 18, 1998
ONE ORCHARD EQUITIES, INC.
June 10, 1996 - April 18, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 1994 - February 16, 1996
CHARLES SCHWAB & CO., 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
(7/11/2026)
Exams
Series 7TO
Date: 8/11/2020
General Securities Representative ExaminationFINRA
Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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