Joseph P. Rivera
Professional summary
Joseph Peter Rivera was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph Peter Rivera, who also goes by Joe Rivera, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2000. Joseph had worked at 21 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - September 14, 2012
SW FINANCIAL
April 5, 2011 - April 18, 2011
SCOTTSDALE CAPITAL ADVISORS CORP
September 14, 2010 - March 11, 2011
ROCKWELL GLOBAL CAPITAL LLC
January 29, 2010 - July 23, 2010
BROOKSTONE SECURITIES, INC.
January 21, 2010 - January 26, 2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
November 16, 2009 - January 19, 2010
SYNERGY INVESTMENT GROUP, LLC
April 15, 2009 - November 2, 2009
PHD CAPITAL
January 13, 2009 - March 13, 2009
J.P. TURNER & COMPANY, L.L.C.
October 1, 2007 - January 2, 2009
J.D. NICHOLAS & ASSOCIATES, INC.
October 25, 2004 - September 27, 2007
BROOKVILLE CAPITAL PARTNERS
May 19, 2004 - September 1, 2004
GUNNALLEN FINANCIAL, INC
October 21, 2003 - May 19, 2004
NEWBRIDGE SECURITIES CORPORATION
September 22, 2003 - November 12, 2003
HARRISON SECURITIES, INC.
May 20, 2003 - September 11, 2003
CONTINENTAL BROKER-DEALER CORP.
May 14, 2003 - July 29, 2003
GUNNALLEN FINANCIAL, INC
April 1, 2003 - June 17, 2003
HARRISON SECURITIES, INC.
January 27, 2003 - April 22, 2003
LH ROSS & COMPANY, INC.
January 7, 2003 - January 21, 2003
BROCKINGTON SECURITIES, INC.
August 9, 2002 - October 8, 2002
MILESTONE FINANCIAL SERVICES, INC.
January 10, 2002 - August 15, 2002
KSH INVESTMENT GROUP, INC.
September 10, 2001 - January 7, 2002
MILESTONE FINANCIAL SERVICES, INC.
June 11, 2001 - October 8, 2001
BENSON YORK GROUP, INC.
May 4, 2001 - May 22, 2001
HARRISON SECURITIES, INC.
April 12, 2001 - June 1, 2001
CONTINENTAL BROKER-DEALER CORP.
February 7, 2001 - April 18, 2001
JOSEPH STEVENS & CO., INC.
November 30, 2000 - March 1, 2001
HAPOALIM SECURITIES USA, 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
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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