Frank R Rivera
Professional Summary
Frank R Rivera was a registered financial advisor. Frank was a previously registered financial professional and started their career in finance 1996 - 2007. Frank had worked at 3 firms and has passed the Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Established
Puerto Rico since 10/05/1995Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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