Jaime Rivera
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.
Jaime Rivera, who also goes by Jimmy Rivera, was a registered financial professional .
Jaime is a previously registered financial professional and started their career in finance in 2000. Jaime had worked at 10 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
November 5, 2012 - May 28, 2013
ALLSTATE FINANCIAL SERVICES, LLC
May 7, 2012 - September 4, 2012
PNC WEALTH MANAGEMENT LLC
August 17, 2010 - April 12, 2012
FIFTH THIRD SECURITIES, INC.
April 4, 2008 - September 22, 2009
WELLS FARGO INVESTMENTS, LLC
March 4, 2008 - April 1, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
February 16, 2006 - December 13, 2007
CHASE INVESTMENT SERVICES CORP.
September 22, 2005 - February 16, 2006
SIGNATOR INVESTORS, INC.
July 1, 2005 - July 26, 2005
WAMU INVESTMENTS, INC.
January 4, 2005 - May 18, 2005
HARRISDIRECT LLC
April 15, 2003 - November 29, 2004
CHARLES SCHWAB & CO., INC.
October 12, 2000 - December 12, 2002
CHARLES SCHWAB & CO., 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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
