AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JR

Jack L. Rivkin

Some features on this profile are disabled
CRD#: 400420
JR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jack Leon Rivkin, who also goes by Jack L Rivkin, was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 1969. Jack had worked at 10 firms and has passed the SIE, Series 7, Series 16, Series 1, Series 24 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jack L Rivkin

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2016 - November 9, 2016

ALPHAMAX DISTRIBUTORS, L.L.C.

BD
CRD#: 8258
LA JOLLA, CA
Past

January 30, 2003 - October 8, 2008

NEUBERGER BERMAN MANAGEMENT LLC

BD
CRD#: 5493
NEW YORK, NY
Past

August 28, 2002 - October 8, 2008

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

May 10, 1996 - May 14, 2002

TRIBECA INVESTMENTS, L.L.C.

BD
CRD#: 40631
NEW YORK, NY
Past

June 15, 1993 - August 3, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 24, 1987 - June 22, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 30, 1980 - June 1, 1984

BLYTH EASTMAN PAINE WEBBER INCORPORATED

BD
CRD#: 8166
Past

December 11, 1979 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

December 5, 1979 - April 23, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

June 18, 1969 - December 14, 1979

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 11/9/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/10/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 10/16/1972
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 1
Date: 6/17/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/4/2016
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 9/25/1972
General Securities Principal Examination

Current Firm

AD
ALPHAMAX DISTRIBUTORS, L.L.C.
ALPHAMAX | ROCKWELL INVESTMENTS, INC. | ALTEGRIS INVESTMENTS, LLC | ALTEGRIS INVESTMENTS, INC. | ALTEGRIS DISTRIBUTORS, L.L.C. | ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258 / SEC#: , 8-24931

BD
Terminated by SEC on 01/02/2024
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 12/31/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OSBORNE, MATTHEW CHARLESCHIEF EXECUTIVE OFFICER & CIO, CCO2949871

Disclosures

Regulatory Event1

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.

Company Information

ALPHAMAX DISTRIBUTORS, L.L.C.

CRD#: 8258

TRUST BUT VERIFY

Monitor Jack Rivkin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics