John 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.
John Rivera was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 7 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 1, 2006 - February 13, 2012
INSTINET, LLC
February 27, 2003 - June 8, 2004
INET ATS, INC.
August 1, 2000 - June 1, 2006
INSTINET, LLC
June 23, 1997 - August 1, 2000
REUTERS C CORPORATION
July 31, 1996 - January 20, 1997
CITICORP INVESTMENT SERVICES
February 23, 1994 - March 5, 1996
CITICORP INVESTMENT SERVICES
June 30, 1993 - October 1, 1993
PRUCO SECURITIES, LLC.
April 22, 1993 - May 7, 1993
J. GREGORY & COMPANY, INC.
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
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 55
Date: 7/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
Red Flags
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