Frank R. Rivera
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2006 - October 12, 2007
OFS SECURITIES, INC.
August 4, 1999 - October 22, 1999
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
July 16, 1999 - January 12, 2006
CITIGROUP GLOBAL MARKETS INC.
September 13, 1996 - March 2, 1998
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OFS SECURITIES, INC.
CRD#: 39615 / SEC#: , 8-48753
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
Red Flags
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