Nicolas A. Rivero

BCI SECURITIES

Coral Gables, FL 33134

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CRD#: 3127105

Professional summary

Nicolas Alejandro Rivero is a registered financial advisor currently at BCI SECURITIES, INC. located in Coral Gables, Florida.

Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Nicolas has worked at 8 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

CNB Banker, 30 hours, under common control with Bci Securities (Bci Group - Chile)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas Alejandro Rivero's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicolas Alejandro Rivero'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

March 19, 2025 - Present

BCI SECURITIES, INC.

Office #1: 2855 S. Le Jeune Road 1st. Floor, Coral Gables, FL, 33134

RIA

CRD#: 168047

Coral Gables, FL

Current

January 27, 2025 - Present

BCI SECURITIES, INC.

Office #1: 2855 S. Le Jeune Road 1st. Floor, Coral Gables, FL, 33134

RIA

CRD#: 168047

Coral Gables, FL

Past

June 26, 2023 - November 20, 2024

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAINT PAUL, MN

Past

June 1, 2009 - April 11, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Miami, FL

Past

June 1, 2009 - April 11, 2023

MORGAN STANLEY

CRD#: 149777

Miami, FL

Past

May 23, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

MIAMI, FL

Past

May 21, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

MIAMI, FL

Past

May 29, 2007 - June 9, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI BEACH, FL

Past

May 29, 2007 - June 9, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

MIAMI BEACH, FL

Past

November 1, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

MIAMI BEACH, FL

Past

October 17, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

MIAMI BEACH, FL

Past

February 27, 2006 - June 6, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

September 26, 2005 - June 6, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

Past

May 19, 2005 - September 30, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BCI SECURITIES, INC.

CRD#: 168047 / SEC#: 801-121997, 8-69287

RIA

Registered Investment Advisory firm - SEC (10/1/2021 Approved)

Florida

Registered Investment Advisory firm - SEC (10/11/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(1/27/2025)

IAR

Florida
(3/19/2025)

New York
(1/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/25/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/14/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/18/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

BCI SECURITIES, INC.

CRD#: 168047 / SEC#: 801-121997, 8-69287

RIA

Registered Investment Advisory firm - SEC (10/1/2021 Approved)

Florida

Registered Investment Advisory firm - SEC (10/11/2021 Terminated)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

1450 Brickell Avenue Suite 2850, Miami, FL 33131

Mailing Address

1450 Brickell Avenue Suite 2850, Miami, FL 33131

Phone number

(305) 929-5500

Established

Florida since 07/05/2011

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

BCI SECURITIES ADV - FORM ADV PART 2A 03-30-2025_FINAL (SEC) (3/30/2025)

BCI SECURITIES ADV - FORM ADV PART 2A 03-30-2025 WRAP (SEC)_FINAL (3/30/2025)

Direct owners and executive officers

Name	Position	CRD#
BANCO DE CREDITO E INVERSIONES, S.A.	SHAREHOLDER
FOXX, TERESA PENNET	DIRECTOR	2608603
GARCIA NIETO, FRANCISCO JAVIER	DIRECTOR OF SALES	6645468
GROOM, PAMELA SNELL	CCO	2870233
MARTIN-DONADIO, CARLOS	CEO/DIRECTOR	2550675
MARTINEZ-LEJARZA, JUAN CARLOS	DIRECTOR	6369051
NODAR, MARIA EUGENIA	FINOP/PFO	1660104
SEGUNDO, JUAN ALBERTO	DIRECTOR	6353039
VEGA, MARIA GRISEL	DIRECTOR	6235036

Regulatory assets under management

Total Number of Accounts	430
AUM (Assets Under Management)	$ 295,193,450

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/25/2025	Cover Page	Report

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.

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Firm Stability Insights

Nicolas A. Rivero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicolas Alejandro Rivero's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicolas Alejandro Rivero's CRS (Customer Relationship Summary).

Certified licenses

Experience

BCI SECURITIES, INC.

U.S. BANCORP INVESTMENTS, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

BCI SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/25/2006

SIE

Date: 10/1/2018

Series 3

Date: 7/14/2008

Series 7

Date: 5/18/2005

FINRA

Current Firm

BCI SECURITIES, INC.

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (23 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BCI SECURITIES, INC.

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