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FR

Freddie M. Rivera

R.M. STARK & CO.
Lake Worth Beach, FL 33460-4955
Some features on this profile are disabled
CRD#: 2737176
FR

Professional summary

Freddie Michael Rivera, who also goes by Fred Brown, Freddie M Rivera, is a registered financial professional currently at R.M. STARK & CO., INC. located in Lake Worth Beach, Florida.

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

Question & Answer

Are you a "fiduciary"?
No

Aliases

Fred Brown | Freddie M 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 Freddie Michael 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

March 31, 2015 - Present

R.M. STARK & CO., INC.

Office #1: 730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
BD
CRD#: 7612
Lake Worth Beach, FL
Past

November 21, 2013 - March 26, 2015

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

BD
CRD#: 130390
RALEIGH, NC
Past

December 7, 2010 - November 12, 2013

LAMPERT CAPITAL MARKETS INC.

BD
CRD#: 103725
NEW YORK, NY
Past

June 24, 2008 - December 7, 2010

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
NEW ROCHELLE, NY
Past

January 22, 2007 - June 25, 2008

WALLSTREET*E FINANCIAL SERVICES, INC.

BD
CRD#: 43896
CORAL GABLES, FL
Past

March 26, 2004 - December 31, 2006

AFS BROKERAGE, INC.

BD
CRD#: 25924
NEW ROCHELLE, NY
Past

July 2, 2003 - March 25, 2004

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

January 29, 2003 - June 26, 2003

MAXIM GROUP LLC

BD
CRD#: 120708
NEW YORK, NY
Past

May 23, 2002 - August 13, 2002

FINANCIAL WORLD CORPORATION

BD
CRD#: 41377
OVERLAND PARK, KS
Past

January 24, 2001 - April 1, 2002

PRO-INTEGRITY SECURITIES, INC.

BD
CRD#: 44707
LONGVIEW, TX
Past

December 22, 1998 - January 25, 2001

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

March 30, 1998 - July 20, 1998

BRIARWOOD INVESTMENT COUNSEL

BD
CRD#: 6368
NEW YORK, NY
Past

November 6, 1996 - April 29, 1998

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
California
(7/28/2020)
RR
Florida
(4/3/2015)
RR
Massachusetts
(9/5/2017)
RR
New York
(4/6/2015)
RR
Pennsylvania
(10/31/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 4/29/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/5/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
R.M. STARK & CO., INC.
R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Mailing Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Phone number
(561) 243-3815
Established
Florida since 09/29/1988
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RMST HOLDING COMPANY, INC.OWNER
MCTAGUE, ROBIN JAYNECHIEF COMPLIANCE OFFICER1438670
STARK, GARY LESTERCEO433866
STARK, GARY LESTERFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL433866

Disclosures

Regulatory Event4

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.

Company Information

R.M. STARK & CO., INC.

CRD#: 7612Lake Worth Beach, FL 33460-4955

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