KR
Krista L. Rivers
TOUCHSTONE SECURITIES
Cincinnati, OH 45202
Some features on this profile are disabled
CRD#: 2517449
KR
Professional summary
Krista L Rivers, CFP®, who also goes by Krista Mary Lindberg, Krista Lindberg Rivers, Krista Rivers, Krista Lindberg Tag, is a registered financial professional currently at TOUCHSTONE SECURITIES, INC. located in Cincinnati, Ohio.
Krista is registered as a RR (Registered Representative) and started their career in finance in 1994. Krista has worked at 6 firms and has passed the Series 63, Series 66 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Krista Mary Lindberg | Krista Lindberg Rivers | Krista Rivers | Krista Lindberg Tag
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.
1) RMB Capital Management, LLC; Chicago, IL; Investment Related; Started 11/10/2014; Asset Management, sales and marketing; Senior Vice President; Manage the sales and marketing function for the asset management business, which includes both mutual funds and separately managed accounts.; 180 hours per month with 0 hours during securities trading hours.
CRS (Client Relationship Summary) - BD
Click below to view Krista L Rivers'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®
Experience
Current
March 9, 2023 - Present
TOUCHSTONE SECURITIES, INC.
Office #1: 303 Broadway Suite 1200, Cincinnati, OH 45202BD
CRD#: 1526
Cincinnati, OH
Past
March 22, 2021 - February 15, 2023
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
Chicago, IL
Past
December 1, 2014 - February 7, 2023
CURI CAPITAL, LLC
RIA
CRD#: 134249
CHICAGO, IL
Past
October 21, 2002 - November 11, 2014
ARIEL INVESTMENTS, LLC
RIA
CRD#: 108211
CHICAGO, IL
Past
May 15, 1995 - May 27, 2014
ARIEL DISTRIBUTORS, LLC
BD
CRD#: 38333
CHICAGO, IL
Past
July 21, 1994 - May 15, 1995
ARIEL CAPITAL MANAGEMENT, INC.
BD
CRD#: 20625
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(3/9/2023)
RR
Colorado(3/13/2023)
RR
Connecticut(3/9/2023)
RR
Florida(3/10/2023)
RR
Georgia(3/13/2023)
RR
Illinois(3/13/2023)
RR
Indiana(3/16/2023)
RR
Kansas(3/10/2023)
RR
Massachusetts(3/10/2023)
RR
Michigan(3/13/2023)
RR
Minnesota(3/16/2023)
RR
Missouri(3/9/2023)
RR
New Jersey(3/13/2023)
RR
New York(4/8/2023)
RR
Ohio(3/9/2023)
RR
Oregon(3/9/2023)
RR
Pennsylvania(3/10/2023)
RR
Texas(3/9/2023)
RR
Washington(3/20/2023)
RR
Wisconsin(3/9/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TOUCHSTONE SECURITIES, INC.
CONTINENTAL MANAGEMENT, INC. | TOUCHSTONE SECURITIES, INC.
CRD#: 1526 / SEC#: , 8-14052
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Mailing Address
303 Broadway Suite 1100, Cincinnati, OH 45202
Phone number
(513) 362-8000
Established
Nebraska since 02/27/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IFS FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AARTS, ERIK | VP, SENIOR FIXED INCOME STRATEGIST | 2556961 |
| ALGE, BENJAMIN J | PRESIDENT | 6225581 |
| BRAY, TIMOTHY ALLEN | DIVISIONAL VICE PRESIDENT | 1858477 |
| CONNELLY, LINDSAY MICHELLE | AVP & ASSISTANT TREASURER | 7212999 |
| COSTANZA, TIMOTHY JOHN | VP MANAGING DIRECTOR INSTITUTIONAL DEVELOPMENT | 4471461 |
| HERRON, SARAH SPARKS | SECRETARY | 6905684 |
| JOHNSON, JAY VINCENT | VP, CORPORATE FINANCE AND TREASURER | 6607547 |
| JONES, MICHAEL STEPHEN | ASSISTANT VICE PRESIDENT | 5537600 |
| KOERNER, RICHARD MICHAEL | VP, SENIOR ETF SALES SPECIALIST | 2249223 |
| MCGRUDER, JILL TRIPP | DIRECTOR | 1221720 |
| MOCK, MARY TAYLOR | SVP & HEAD OF DISTRIBUTION | 5276399 |
| MORSE, JULIE LYNN | SVP, MARKETING | 6743435 |
| MUSGROVE, JOHN S | AVP - ASSISTANT TREASURER | 6607165 |
| NIEMEYER, JONATHAN DAVID | DIRECTOR | 5863603 |
| SCOTT, SHAWN MICHAEL | CHIEF COMPLIANCE OFFICER | 4673623 |
| STEARNS, TIMOTHY STEVEN | VP, COMPLIANCE | 1327230 |
| WIEDENHEFT, TERRIE ANN | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 2619213 |
| WITTMAN, SCOTT | VICE PRESIDENT, TAX | 7679752 |
| WUEBBLING, DONALD JOSEPH | DIRECTOR | 473438 |
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
TOUCHSTONE SECURITIES, INC.
CRD#: 1526Cincinnati, OH 45202TRUST BUT VERIFY
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