Glen A. Rives
Professional summary
Glen Alan Rives, CFP®, who also goes by Glen A Rives, Glen Alan Rives, is a registered financial advisor currently at BAKERAVENUE located in Houston, Texas.
Glen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Glen has worked at 8 firms and has passed the Series 63, Series 66, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Glen Alan Rives's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2010
Experience
June 22, 2023 - Present
BAKERAVENUE
June 7, 2021 - February 20, 2023
WILLIS JOHNSON & ASSOCIATES, INC.
May 8, 2020 - June 1, 2021
MORGAN STANLEY
April 20, 2020 - June 1, 2021
MORGAN STANLEY
March 14, 2018 - October 16, 2019
MERCER GLOBAL ADVISORS INC.
July 1, 2014 - March 8, 2018
P.J. ROBB VARIABLE, LLC
February 17, 2014 - June 2, 2014
RAYMOND JAMES & ASSOCIATES, INC.
January 8, 2014 - June 2, 2014
RAYMOND JAMES & ASSOCIATES, INC.
August 16, 2011 - July 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2011 - July 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1998 - August 6, 2001
RBC CAPITAL MARKETS, LLC
Primary Firm SEC Registration
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/22/2023)
Exams
Current Firm
BAKERAVENUE
CRD#: 132657 / SEC#: 801-63576
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,138 |
| AUM (Assets Under Management) | $ 3,771,014,366 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/05/2025 | ||
| 08/28/2024 | ||
| 04/02/2024 | ||
| 03/14/2023 |
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.
