Edwin 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.
Edwin Rivera, who also goes by Eddie Rivera, Ed Rivers, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1996. Edwin had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2001 - October 4, 2001
NEW WORLD FINANCIAL, INC.
January 25, 2001 - July 12, 2001
GRAYSON FINANCIAL LLC
October 11, 1999 - January 22, 2001
MONTROSE CAPITAL MANAGEMENT LTD.
August 20, 1999 - October 25, 1999
AUERBACH, POLLAK & RICHARDSON INC.
July 31, 1997 - August 20, 1999
DONALD & CO. SECURITIES INC.
December 13, 1996 - August 19, 1997
BISHOP, ALLEN, INC.
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
Current Firm
NEW WORLD FINANCIAL, INC.
CRD#: 47747 / SEC#: , 8-51915
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
