Ronald R. Rivera

FINALIS SECURITIES LLC

New York, NY 10003

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CRD#: 2944580

Professional summary

Ronald Ray Rivera is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 1997. Ronald has worked at 11 firms and has passed the Series 63, Series 79TO, Series 72, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view Ronald Ray Rivera's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

April 24, 2025 - Present

FINALIS SECURITIES LLC

Office #1: 228 Park Ave South Suite 85550, New York, NY 10003

CRD#: 305908

New York, NY

Past

August 1, 2023 - May 1, 2024

CASCADIA CAPITAL, LLC

CRD#: 101020

Alpharetta, GA

Past

October 13, 2020 - July 19, 2023

DRAKE STAR SECURITIES LLC

CRD#: 131338

NEW YORK, NY

Past

June 11, 2013 - March 7, 2020

DELOITTE CORPORATE FINANCE LLC

CRD#: 111747

ATLANTA, GA

Past

August 30, 2011 - June 11, 2013

MCCOLL PARTNERS, LLC

CRD#: 119059

704-333-0525, NC

Past

October 2, 2008 - August 8, 2011

GREEN MANNING & BUNCH, LTD.

CRD#: 35120

DENVER, CO

Past

July 11, 2006 - April 9, 2008

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

July 1, 2003 - March 24, 2006

WELLS FARGO SECURITIES, LLC

CRD#: 126292

CHARLOTTE, NC

Past

August 9, 2001 - July 1, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

September 28, 1998 - June 13, 2001

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

September 3, 1997 - September 2, 1998

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/19/2025)

Georgia
(4/24/2025)

Exams

State Security Law Exam

Series 63

Date: 1/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FINALIS SECURITIES LLC

DEALSYTE SECURITIES LLC | FINALIS SECURITIES LLC

CRD#: 305908 / SEC#: , 8-70425

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

228 Park Ave South Suite 85550, New York, NY 10003

Mailing Address

228 Park Ave South Suite 85550, New York, NY 10003

Phone number

(800) 962-0418

Established

Delaware since 09/10/2019

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FINALIS, INC.	HOLDING COMPANY
AZARY, DENNIS MICHAEL	CEO/CCO/FINOP	2384263

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Ronald R. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald Ray Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

CASCADIA CAPITAL, LLC

DRAKE STAR SECURITIES LLC

DELOITTE CORPORATE FINANCE LLC

MCCOLL PARTNERS, LLC

GREEN MANNING & BUNCH, LTD.

TRUIST SECURITIES, INC.

WELLS FARGO SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

COWEN AND COMPANY

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/1998

Series 79TO

Date: 1/2/2023

Series 72

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1997

FINRA

Current Firm

FINALIS SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FINALIS SECURITIES LLC

TRUST BUT VERIFY

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