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SR

Sergio Rivera Vazquez

VERAZ ADVISORS
San Ramon, CA 94583
Some features on this profile are disabled
CRD#: 2373172
SR

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.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sergio Rivera Vazquez | Sergio Riveravazquez | Sergio Rivera Vazquez

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) - RIA

Click below to view Sergio Rivera Vazquez'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 25, 2026 - Present

VERAZ ADVISORS

Office #1: 2355 San Ramon Valley Blvd, Suite 204, San Ramon, CA 94583
RIA
CRD#: 304619
San Ramon, CA
Past

October 21, 2025 - December 3, 2025

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
San Jose, CA
Past

April 26, 2024 - July 7, 2025

EDWARD JONES

RIA
CRD#: 250
SUNNYVALE, CA
Past

April 26, 2024 - July 7, 2025

EDWARD JONES

BD
CRD#: 250
SUNNYVALE, CA
Past

June 13, 2022 - March 21, 2024

MORGAN STANLEY

RIA
CRD#: 149777
San Francisco, CA
Past

May 16, 2022 - March 21, 2024

MORGAN STANLEY

BD
CRD#: 149777
San Francisco, CA
Past

November 25, 2014 - February 12, 2016

CP CAPITAL SECURITIES

BD
CRD#: 15029
MIAMI, FL
Past

February 21, 2013 - December 31, 2013

ALTERNA SECURITIES, INC.

BD
CRD#: 41139
HOUSTON, TX
Past

February 22, 1996 - October 20, 2000

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

August 30, 1993 - February 22, 1995

BANORTE SECURITIES INTERNATIONAL, LTD.

BD
CRD#: 30648
HOUSTON, TX

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/25/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/13/2022
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/29/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/16/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/11/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/20/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/15/2023
General Securities Sales Supervisor - General Module Examination

Current Firm

VA
VERAZ ADVISORS
VERAZ ADVISORS | VERAZ ADVISORS, LLC

CRD#: 304619 / SEC#:

California
Registered Investment Advisory firm - (3/5/2020 Approved)
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Contact information

Main Address
2355 San Ramon Valley Blvd, Suite 204, San Ramon, CA 94583
Mailing Address
P.o. Box 1041, Danville, CA 94526
Phone number
(925) 309-5535
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts379
AUM (Assets Under Management)$ 86,101,616

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.

Company Information

VERAZ ADVISORS

CRD#: 304619San Ramon, CA 94583

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