Steven J. Rivera
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven J Rivera, who also goes by Steven Joe Rivera, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 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.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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 7TO
Date: 8/11/2020
General Securities Representative ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
