Joseph Peter Riveiro
Professional Summary
Joseph Peter Riveiro, who also goes by Joseph P Riveiro, was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1970 - 2003. Joseph had worked at 2 firms and has passed the Series 63, SIE, Series 55, PC, Series 1, Series 24 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joseph P Riveiro
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
64 years in the financial services industry
Current & Past Employments
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Current Firm
INVESTEC INC. | PMG CAPITAL CORP. | PENNSYLVANIA MERCHANT GROUP LTD. | PENN MERCHANT GROUP, LTD. | INVESTEC PMG CAPITAL
Contact Information
Established
Delaware since 09/11/1986Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTEC USA GROUP, INC. | PARENT COMPANY | — |
| BURGHARDT MC DONOUGH, RITA CHRISTINE | SECRETARY | 4324201 |
| DRAZKA, FRANK JERRY | PRESIDENT | 2208093 |
| HERMAN, HUGH SIDNEY | DIRECTOR; CHAIRMAN OF THE BOARD | 3005992 |
| KANTOR, BERNARD | DIRECTOR | 3005897 |
| KOSEFF, STEPHEN | DIRECTOR | 3009705 |
| MURABITO, JOHN JAMES | CEO/ACTING HEAD OF CORP. FINANCE & CAP. MARKETS | 1075873 |
| PARAGGIO, STEVEN JOHN | CFO | 2495234 |
| RAPPAPORT, DAVID ROBERT | GENERAL COUNSEL | 2212433 |
| ROSENBLUM, SCOTT S. | DIRECTOR | 4251370 |
| WACHLER, LARRY PHILLIP | CCO/AML OFFICER | 1239220 |
Disclosures
Regulatory Event
3Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2006PC — AMEX Put and Call Exam
Passed May 1977Series 1 — Registered Representative Examination
Passed Jan 1962Series 00 — General Securities Principal Examination
Passed Dec 1969Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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