Steven W. Rives
Professional summary
Steven William Rives, who also goes by Steve Rives, Steven W Rives, Steven William Rives, is a registered financial professional currently at HENNION & WALSH, INC. located in Parsippany, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 9 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven William Rives's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2025 - Present
HENNION & WALSH, INC.
Office #1: 2001 Route 46 Waterview Plaza, Parsippany, NJ 07054-1018March 24, 2021 - May 24, 2021
LPL FINANCIAL LLC
March 24, 2021 - May 24, 2021
LPL FINANCIAL LLC
September 12, 2018 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
July 31, 2018 - March 24, 2021
BMO HARRIS FINANCIAL ADVISORS, INC.
May 19, 2011 - February 8, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 2008 - October 25, 2010
TRANSAMERICA CAPITAL, LLC
June 26, 2006 - March 10, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 28, 2002 - June 7, 2006
SECURIAN FINANCIAL SERVICES, INC.
June 14, 1999 - November 15, 2001
AFD, INC.
June 4, 1998 - March 29, 1999
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/12/2025)
Exams
Series 7TO
Date: 3/13/2024
General Securities Representative ExaminationFINRA
Current Firm
HENNION & WALSH, INC.
CRD#: 25766 / SEC#: , 8-41988
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HENNION, RICHARD | EXECUTIVE VICE PRESIDENT | 1315386 |
| WALSH, WILLIAM WALTER | PRESIDENT | 1174993 |
| FITZSIMMONS, PHILLIP | CHIEF COMPLIANCE OFFICER | 1625889 |
| HENNION, WILLIAM | VICE PRESIDENT | 2048378 |
| KOWALSKI, STEPHEN GEORGE | VICE PRESIDENT | 1919574 |
| MAHN, KEVIN DOUGLAS | MANAGING DIRECTOR | 2519398 |
| WURST, WENDY ANN | FINOP, TREASURER | 1902879 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 6 |
Red Flags
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