Sergio Rivera Vazquez
Professional Summary
Sergio Rivera Vazquez, who also goes by Sergio Rivera Vazquez, Sergio Riveravazquez, Sergio Rivera Vazquez, is a registered financial advisor currently at VERAZ ADVISORS located in San Ramon, California. Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Sergio has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7, Series 9 and Series 10 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sergio Rivera Vazquez, Sergio Riveravazquez, Sergio Rivera Vazquez
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
20 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
VA | VERAZ ADVISORS, LLC | VERAZ ADVISORS
Contact Information
Main Address
2355 San Ramon Valley Blvd, Suite 204, San Ramon, CA 94583Mailing Address
P.o. Box 1041, Danville, CA 94526Phone Number
(844) 848-3729# of Employees
8SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
428AUM (Assets Under Management)
$109,563,851Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
VA | VERAZ ADVISORS, LLC | VERAZ ADVISORS
State Registrations and Notice Filings
(1/25/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2023About the Series 10 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Sergio Rivera Vazquez's CRS (Customer Relationship Summary).
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