Carlos Rivera
Professional summary
Carlos Rivera, who also goes by Carlos Alberto Rivera, Chuck Rivera, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in Miami, Florida.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1996. Carlos has worked at 6 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 Rivera's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2026 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131April 1, 2009 - June 2, 2026
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
(6/4/2026)
(6/4/2026)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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