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Rocco J. Lavista

Some features on this profile are disabled
CRD#: 2784573
RL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rocco James Lavista was a registered financial professional .

Rocco is a previously registered financial professional and started their career in finance in 1998. Rocco had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

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

October 5, 2015 - March 7, 2016

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
Iselin, NJ
Past

November 25, 2014 - October 9, 2015

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
RED BANK, NJ
Past

November 16, 2012 - December 2, 2014

AEGIS CAPITAL CORP.

BD
CRD#: 15007
HOLMDEL, NJ
Past

March 30, 2012 - December 7, 2012

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
RED BANK, NJ
Past

January 14, 2011 - March 29, 2012

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
TINTON FALLS, NJ
Past

February 27, 2006 - January 19, 2011

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
RED BANK, NJ
Past

June 29, 2005 - March 1, 2006

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

September 8, 2000 - July 5, 2005

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

June 5, 2000 - September 25, 2000

THE AGEAN GROUP, INC

BD
CRD#: 30835
BOCA RATON, FL
Past

March 11, 1999 - June 8, 2000

KIRLIN SECURITIES INC.

BD
CRD#: 21210
SYOSSET, NY
Past

March 24, 1998 - February 4, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 30, 1998 - March 26, 1998

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY

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

State Security Law Exam
IAR
Series 65
Date: 4/7/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/20/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/2000
General Securities Principal Examination

Current Firm

AC
ARIVE CAPITAL MARKETS
ARIVE CAPITAL MARKETS | REID AND ASSOCIATES, LLC | REID AND ASSOCIATES | REID & GILMOUR

CRD#: 8060 / SEC#: , 8-43350

BD
Terminated by SEC on 07/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY VIEW HOLDINGS LLCDIRECT OWNER
ARIVE HOLDINGS, LLCDIRECT OWNER
UNIFIED WEALTH MANAGEMENT LLCDIRECT OWNER
KRISPEAL, RAQUEL ECCO5733217
SULLIVAN, THOMAS FRANCISCFO/FINOP1145000

Disclosures

Regulatory Event3

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

ARIVE CAPITAL MARKETS

CRD#: 8060

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