RR
Robert L. Rivera
KCD FINANCIAL
Green Bay, WI 54304
Some features on this profile are disabled
CRD#: 4136487
RR
Professional summary
Robert Luis Rivera, who also goes by Bob ^ Rivera ^, is a registered financial advisor currently at KCD FINANCIAL, INC. located in Green Bay, Wisconsin.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob ^ Rivera ^
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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 7/2018 APX NUMBER OF HOURS PER WEEK: 0-3 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES 2. NAME OF OTHER BUSINESS: KNIGHTS OF COLUMBUS #16333 INVESTMENT RELATED: NO ADDRESS: 3425 WILLOW RD, GREEN BAY, 54311 NATURE OF BUSINESS: FUND RAISING, COMMUNITY SUPPORT START DATE: 8/2022 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 1-2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEMBER NO FIDUCIARY RESPONSIBILITIES. 3. PRINCE OF PEACE COUNCEL MEMBER APX NUMBER OF HOURS PER MONTH: 2-4 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MEMBER AT LARGE, NO FIDUCIARY RESPONSIBILITIES.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Luis Rivera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Luis Rivera's 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®
NoneExperience
Current
February 14, 2019 - Present
KCD FINANCIAL, INC.
Office #1: 3061 Allied Street Suite B, Green Bay, WI 54304Office #2: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Green Bay, WI
Current
February 14, 2019 - Present
KCD FINANCIAL, INC.
Office #1: 3061 Allied Street Suite B, Green Bay, WI 54304Office #2: 3061 Allied Street Suite B, Green Bay, WI 54304RIA
BD
CRD#: 127473
Green Bay, WI
Past
October 24, 2018 - February 25, 2019
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
GREEN BAY, WI
Past
September 10, 2018 - February 25, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
GREEN BAY, WI
Past
May 15, 2008 - August 24, 2009
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NEENAH, WI
Past
May 14, 2008 - August 24, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
NEENAH, WI
Past
May 1, 2007 - December 31, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
GREEN BAY, WI
Past
December 15, 2006 - May 14, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
GREEN BAY, WI
Past
July 28, 2000 - May 18, 2001
GMAC INVESTMENT SERVICES, INC.
BD
CRD#: 47391
BLOOMINGTON, MN
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".
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Alabama(12/5/2024)
RR
Arizona(1/3/2020)
RR
Colorado(1/15/2025)
RR
Connecticut(1/3/2020)
RR
Delaware(12/5/2024)
RR
Georgia(3/1/2022)
RR
Iowa(12/5/2024)
RR
Kansas(12/5/2024)
RR
Kentucky(1/3/2022)
RR
Maine(4/17/2020)
RR
Maryland(1/3/2020)
RR
Massachusetts(1/3/2020)
RR
Missouri(11/8/2024)
RR
New Jersey(5/21/2024)
RR
New Mexico(12/5/2024)
RR
New York(1/3/2020)
RR
Oklahoma(3/23/2022)
RR
Oregon(8/16/2019)
RR
Rhode Island(12/5/2024)
RR
South Carolina(12/5/2024)
RR
Tennessee(12/5/2024)
RR
Virginia(12/5/2024)
RR
Wisconsin(2/14/2019)
IAR
Wisconsin(2/14/2019)
RR
Wyoming(12/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 12/2/2019
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KCD FINANCIAL, INC.
A4 CAPITAL MANAGEMENT | WESTMONT FINANCIAL | WALLACE FINANCIALS | W. D. GUERRE & ASSOCIATES | VOGEL FINANCIAL SERVICES | TUTTLE FINANCIAL | THE WILLIAMS FINANCIAL GROUP | THE STEFFEN INVESTMENT CO., INC. | TABER FINANCIAL ADVISORS | SUN CITIES FINANCIAL GROUP | STRATEGIC ALLIANCE INVESTMENT ADVISORS, INC. | STEVENS INVESTMENT SERVICES | SENIOR RESOURCE CONSULTANTS | SCP CAPITAL MANAGEMENT | SCHUMACHER INVESTMENTS AND MORTGAGE FIRM | SAFE RETIREMENT ADVOCATES, LLC | SACKS GROUP, INC. | REALTY CAPITAL PARTNERS, LLC | R. L. DAIL INVESTMENTS LLC | R F FINANCIAL | PULSE FINANCIAL SERVICES | PAPPAS WEALTH MANAGEMENT | OAK BROOK BENEFIT RESOURCES | NICOLET INVESTMENT CENTER | MY ADVISOR FINANCIAL, INC | MIDWEST ADVANCED PLANNING GROUP | MAINSTREAM FINANCIAL | MACHTAN FINANCIAL SERVICES GROUP | LAWRENCE FINANCIAL SERVICES, LLC | KEATING AND ASSOCIATES | KCD FINANCIAL, INC. | K OATEN FINANCIAL GROUP | JEWELL FINANCIAL SERVICES, INC. | J G WEALTH MANAGEMENT | INTEGRITY RETIREMENT PLANS | INTEGRITY INVESTMENTS, INC. | INTEGER FINANCIAL SVS. | HOWELL & ASSOCIATES ADVANCED PLANNING LLC | HERITAGE BENEFITS | HARRIS FINANCIAL | H & B FINANCIAL GROUP, INC. | GUIDED FINANCIAL ADVISORS | GO GREAT LAKES FINANCIAL, INC. | FUTURE FINANCIAL | FIRST PLAN FINANCIAL SERVICES, LLC | FESS FINANCIAL | FAMILY FINANCIAL | ERIC WALTZ FINANCIAL SOLUTIONS, INC. | ELIASON INVESTMENTS | E TAX CORPORATION | DUNN FINANCIAL GROUP | DLR INVESTMENTS | DEWITT & DUNN | DDG WEALTH CONSULTANTS | CR FINANCIAL GROUP | CORNERSTONE FINANCIAL STRATEGIES | CHRISTOPHER C. FESS | CHOOSRI LAO FINANCIAL SERVICES | CHEN | CENTRAL FINANCIAL SERVICES OF MISSOURI, INC | CENTRAL FINANCIAL SERV OF MO, INC. | CENTRAL FINANCIAL LLC | BRADLE INVESTMENT GROUP | BORDE & ASSOCIATES PA | BENEFITS PLUS | BEACON FINANCIAL SERVICES | BAYSIDE WEALTH MANAGEMENT LLC | AVR FINANCIAL LLC | ARNHOLT INSURANCE AGENCY
CRD#: 127473 / SEC#: 801-110069, 8-66005
RIA
Registered Investment Advisory firm - SEC (3/16/2017 Approved)Arizona
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)California
Registered Investment Advisory firm - SEC (4/30/2017 Terminated)Colorado
Registered Investment Advisory firm - SEC (4/7/2017 Terminated)Connecticut
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Florida
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/13/2011 Terminated)Illinois
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/31/2007 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/31/2009 Terminated)Maryland
Registered Investment Advisory firm - SEC (4/21/2017 Terminated)Michigan
Registered Investment Advisory firm - SEC (4/12/2017 Terminated)Minnesota
Registered Investment Advisory firm - SEC (4/3/2017 Terminated)Missouri
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Montana
Registered Investment Advisory firm - SEC (12/12/2011 Terminated)Nebraska
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)New Jersey
Registered Investment Advisory firm - SEC (4/27/2017 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Ohio
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Oregon
Registered Investment Advisory firm - SEC (6/14/2010 Terminated)Texas
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)Utah
Registered Investment Advisory firm - SEC (11/23/2011 Terminated)Washington
Registered Investment Advisory firm - SEC (4/10/2017 Terminated)Wisconsin
Registered Investment Advisory firm - SEC (3/31/2017 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
3061 Allied Street Suite B, Green Bay, WI 54304
Mailing Address
3061 Allied Street Suite B, Green Bay, WI 54304
Phone number
(920) 347-3400
Established
Wisconsin since 05/19/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
28
SEC notice filing (28 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 697 |
| AUM (Assets Under Management) | $ 182,585,838 |
Disclosures
| Regulatory Event | 4 |
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.
