Leonardo 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.
Leonardo Rivera, who also goes by Leo Rivera, was a registered financial professional .
Leonardo is a previously registered financial professional and started their career in finance in 1994. Leonardo had worked at 6 firms and has passed the Series 63 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
April 3, 2006 - February 13, 2012
WORLD CAPITAL BROKERAGE, INC.
August 21, 1998 - May 12, 2005
STERLING ENTERPRISES GROUP, INC.
October 10, 1997 - August 21, 1998
BRAUER & ASSOCIATES, INC.
January 6, 1995 - October 13, 1997
AEGON USA SECURITIES INC.
June 29, 1994 - December 31, 1994
CAPITAL INVESTMENT GROUP, INC.
January 1, 1994 - May 17, 1994
CHATFIELD DEAN & 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
Exams
Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
