Michael A. 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.
Michael A Rivera, who also goes by Michael A. Rivera, Michael Anthony Rivera, Michael Rivera, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, Series 62, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2023 - February 25, 2025
MORGAN STANLEY
April 17, 2023 - February 25, 2025
MORGAN STANLEY
February 18, 2022 - March 7, 2023
UBS FINANCIAL SERVICES INC.
April 3, 2017 - March 7, 2023
UBS FINANCIAL SERVICES INC.
October 22, 2010 - April 5, 2017
J.P. MORGAN SECURITIES LLC
May 14, 2010 - September 27, 2010
GUGGENHEIM SECURITIES, LLC
January 22, 2008 - October 30, 2008
J.P. MORGAN SECURITIES LLC
November 29, 2001 - September 6, 2007
PRUDENTIAL EQUITY GROUP, LLC
June 28, 1999 - May 15, 2001
CITIGROUP GLOBAL MARKETS INC.
June 2, 1997 - May 22, 1998
HARRISDIRECT LLC
July 1, 1996 - June 2, 1997
PERSHING LLC
December 9, 1994 - February 1, 1996
UJB DISCOUNT BROKERAGE CO.
May 11, 1994 - October 17, 1994
L.C. WEGARD & CO., INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 3/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
