Brian S. Rivera

ARETE WEALTH MANAGEMENT

Chicago, IL 60607

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CRD#: 2732978

Professional summary

Brian Scott Rivera, who also goes by Brian Scott Rivera, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Scott 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Scott Rivera'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

October 24, 2025 - Present

ARETE WEALTH MANAGEMENT, LLC

Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607

CRD#: 44856

Chicago, IL

Past

July 30, 2025 - November 4, 2025

EMERSON EQUITY LLC

CRD#: 130032

SAN MATEO, CA

Past

December 17, 2024 - June 3, 2025

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

RICHMOND, VA

Past

August 10, 2020 - December 5, 2024

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691

DALLAS, TX

Past

August 9, 2010 - August 11, 2020

CCO CAPITAL, LLC

CRD#: 31147

PHOENIX, AZ

Past

January 27, 2006 - August 9, 2010

KBS CAPITAL MARKETS GROUP LLC

CRD#: 132299

NEWPORT BEACH, CA

Past

December 11, 2004 - December 7, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

NEW YORK CITY, NY

Past

September 7, 2001 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 6695

NEWPORT BEACH, CA

Past

July 17, 1999 - February 5, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 13, 1997 - July 1, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 26, 1996 - January 31, 1997

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

June 3, 1996 - July 26, 1996

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

State Registrations and Notice Filings

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

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

Alabama
(10/29/2025)

Alaska
(10/30/2025)

Arizona
(11/4/2025)

Arkansas
(11/4/2025)

California
(10/29/2025)

Colorado
(10/29/2025)

Connecticut
(10/27/2025)

Delaware
(10/30/2025)

District of Columbia
(10/30/2025)

Florida
(11/4/2025)

Georgia
(11/3/2025)

Hawaii
(11/3/2025)

Idaho
(10/29/2025)

Illinois
(10/31/2025)

Indiana
(11/7/2025)

Iowa
(11/3/2025)

Kansas
(10/29/2025)

Kentucky
(10/31/2025)

Louisiana
(10/29/2025)

Maine
(10/24/2025)

Maryland
(10/30/2025)

Massachusetts
(10/27/2025)

Michigan
(10/29/2025)

Minnesota
(11/5/2025)

Mississippi
(10/29/2025)

Missouri
(10/24/2025)

Montana
(10/31/2025)

Nebraska
(10/28/2025)

Nevada
(10/30/2025)

New Hampshire
(10/29/2025)

New Jersey
(10/29/2025)

New Mexico
(10/30/2025)

North Carolina
(11/3/2025)

North Dakota
(10/30/2025)

Ohio
(10/24/2025)

Oklahoma
(10/29/2025)

Oregon
(10/29/2025)

Pennsylvania
(10/30/2025)

Puerto Rico
(11/10/2025)

Rhode Island
(11/3/2025)

South Carolina
(10/31/2025)

South Dakota
(10/30/2025)

Tennessee
(10/29/2025)

Texas
(10/27/2025)

Utah
(10/27/2025)

Vermont
(10/30/2025)

Virgin Islands
(11/12/2025)

Virginia
(10/29/2025)

Washington
(11/4/2025)

West Virginia
(11/5/2025)

Wisconsin
(10/29/2025)

Wyoming
(10/31/2025)

Exams

State Security Law Exam

Series 63

Date: 4/15/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/21/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

ARETE WEALTH MANAGEMENT, LLC | KEYSTONE SECURITIES, LLC. | KEYSTONE SECURITIES, LLC | KEYSTONE INVESTMENT ADVISORS, LLC

CRD#: 44856 / SEC#: , 8-50854

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Mailing Address

1115 W Fulton Market 3rd Floor, Chicago, IL 60607

Phone number

(312) 940-3684

Established

Illinois since 01/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ARETE WEALTH INC	DIRECT OWNER
BULLA, CHRISTIAN ALEXANDER	MUNICIPAL SECURITIES PRINCIPAL	7067640
CHUNG, UNBO	CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER	6208569
HOCK, DAVID CARL	CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP)	2246268
RAYNER, MICAH HARDING	REGISTERED OPTIONS PRINCIPAL	6252596
ROGERS, JOSHUA DEAN	CHIEF EXECUTIVE OFFICER	3163818

Disclosures

Regulatory Event	2
Civil Event	1
Arbitration	3

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

Brian S. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Scott Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

WEALTHFORGE SECURITIES, LLC

SEALY INVESTMENT SECURITIES, LLC

CCO CAPITAL, LLC

KBS CAPITAL MARKETS GROUP LLC

METLIFE INVESTORS DISTRIBUTION COMPANY

METLIFE INVESTORS DISTRIBUTION COMPANY

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

TD AMERITRADE, INC.

FIRST ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/15/1996

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/3/1996

Series 24

Date: 11/21/2013

FINRA

Current Firm

ARETE WEALTH MANAGEMENT, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARETE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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