Carlos A. Rivera
Professional summary
Carlos Alberto Rivera, who also goes by Carlos Rivera, Chuck Rivera, is a registered financial professional currently at VECTORGLOBAL WMG located in Basking Ridge, New Jersey.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1996. Carlos has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos Alberto Rivera's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2009 - Present
VECTORGLOBAL WMG
July 1, 2008 - April 27, 2009
PALI CAPITAL, INC.
January 5, 2006 - July 7, 2008
ING PRIVATE WEALTH MANAGEMENT LLC
December 2, 2004 - January 30, 2006
ING FINANCIAL MARKETS LLC
September 19, 1996 - November 17, 2004
BANORTE SECURITIES INTERNATIONAL, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2009)
(4/1/2009)
(4/1/2009)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
VECTORGLOBAL WMG
CRD#: 32396 / SEC#: , 8-45715
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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