Hernaldo Rivera

CETERA INVESTMENT ADVISERS LLC

HOUSTON, TX 77018

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CRD#: 2560765

Professional summary

Hernaldo Rivera JR, who also goes by Hernaldo Rivera, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Houston, Texas and CETERA ADVISORS LLC located in Houston, Texas.

Hernaldo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Hernaldo has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Hernaldo Rivera

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. NAME OF OTHER BUSINESS: WR ANDERSON & CO; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2025; POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 8; BRIEF DESCRIPTION OF DUTIES: OFFERING SECURITIES AND ADVISORY SERVICES;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hernaldo Rivera JR's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 2190 North Loop W Ste 103, Houston, TX 77018

RIA

CRD#: 105644

HOUSTON, TX

Current

June 11, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2190 North Loop W Ste 103, Houston, TX 77018

CRD#: 10299

Houston, TX

Past

March 23, 2023 - September 16, 2024

LINSCOMB WEALTH, INC.

RIA

CRD#: 106779

HOUSTON, TX

Past

September 29, 2017 - January 9, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

January 13, 2015 - December 31, 2020

YORKTOWN MANAGEMENT AND RESEARCH CO INC

RIA

CRD#: 105083

HOUSTON, TX

Past

October 24, 2014 - October 5, 2016

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

January 13, 2010 - May 1, 2014

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

HOUSTON, TX

Past

May 8, 2009 - May 1, 2014

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

June 20, 2007 - September 22, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

March 6, 2007 - April 20, 2009

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

December 5, 2002 - March 5, 2007

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

June 19, 2001 - August 9, 2002

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

February 26, 1998 - May 4, 2001

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

January 31, 1995 - July 17, 1995

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

November 18, 1994 - January 31, 1995

TRANSAMERICA FUND DISTRIBUTORS, INC.

CRD#: 3554

HOUSTON, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Texas
(6/11/2025)

IAR

Texas
(6/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/21/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/31/1997

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Hernaldo Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Hernaldo Rivera JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

LINSCOMB WEALTH, INC.

FORESIDE FUND SERVICES, LLC

YORKTOWN MANAGEMENT AND RESEARCH CO INC

UNIFIED FINANCIAL SECURITIES, LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

PRINCIPAL SECURITIES, INC.

PRINCIPAL FUNDS DISTRIBUTOR, INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

CUNA BROKERAGE SERVICES, INC.

INVESCO DISTRIBUTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

TRANSAMERICA FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2009

Series 63

Date: 12/31/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2003

Series 6

Date: 12/31/1997

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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