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FR

Frank R. Rivera

Some features on this profile are disabled
CRD#: 2765152
FR

Professional summary

Frank R Rivera was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank R Rivera was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1996. Frank had worked at 3 firms and has passed the Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 24, 2006 - October 12, 2007

OFS SECURITIES, INC.

BD
CRD#: 39615
HATO REY, PR
Past

August 4, 1999 - October 22, 1999

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
SAN JUAN, PR
Past

July 16, 1999 - January 12, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
SAN JUAN, PR
Past

September 13, 1996 - March 2, 1998

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 17053
SAN JUAN, PR

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 2/13/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/7/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

OS
OFS SECURITIES, INC.
BBV CAPITAL MARKETS OF PUERTO RICO | TRANSAMERICA CAPITAL MARKETS CORPORATION | THE CAPITAL MARKETS CORPORATION OF PUERTO RICO | OFS SECURITIES, INC. | OFS SECURITIES | BBVA SECURITIES OF PUERTO RICO, INC. | BBVA SECURITIES | BBVA CAPITAL MARKETS OF PUERTO RICO, INC. | BBVA CAPITAL MARKETS OF PUERTO RICO | BBV CAPITAL MARKETS OF PUERTO RICO, INC.

CRD#: 39615 / SEC#: , 8-48753

BD
Terminated by SEC on 10/13/2013
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Puerto Rico since 10/05/1995
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OFGBANCORPPARENT
COLLAZO, ZELMA DESIREEFINANCIAL OPERATIONS PRINCIPAL3161348
COLONASCAR, RAFAELPRESIDENT1009934
FERNANDEZ MARTINEZ, JOSE RAFAELDIRECTOR1556546
GONZALEZ LUGO, JOSE RAMONDIRECTOR1121410
KUMAR, GANESHDIRECTOR6120016
MARBARAK, SONIA EMILIACHIEF COMPLIANCE OFFICER1498281

Disclosures

Regulatory Event2
Arbitration4

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

OFS SECURITIES, INC.

CRD#: 39615

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