Emilio E. Rivera

FORTIS CAPITAL ADVISORS

Staten Island, NY

Some features on this profile are disabled

CRD#: 4258690

Professional summary

Emilio Enrique Rivera, who also goes by Emilio Enrique Rivera Jr, Emilio Enrique Rivera, Emilio Enrique Rivera Jr., Emilio E Rivera, is a registered financial advisor currently at FORTIS CAPITAL ADVISORS, LLC located in Staten Island, New York.

Emilio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Emilio has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Emilio Enrique Rivera Jr | Emilio Enrique Rivera | Emilio Enrique Rivera Jr. | Emilio E 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: E. Rivera & Associates INV REL: Y ADD: Residential NATURE: S Corp for Tax Reporting Purposes POSITION: President and CEO START DATE: 06/15/2021 NO. HR/MO: 160 NO. HR/MO DURING SEC TRADING: 6-8 DUTIES: Run business on a day-to-day basis. (2) Name: Staten Island University/Northwell Hospital Foundation Board Inv rel: Y Add: One Edgewater Plaza, 6th Floor, Staten Island, NY 10305 Nature: Nonprofit - Fundraising Board Position: Board Member Start date: 08/01/2021 No. HR/MO: 5-8. No. HR/MO during sec trading: 0. Describe duties: As a Board Member, I will be involved in the planning, development and execution of different fundraising activities to help hospital raise funds for different projects. My duties will include attending meeting (and events) to discuss projects and how to raise money for hospital projects. (3) Insurance sales, investment related, same address as branch, sales of fixed insurance products, salesperson, 5 hours per month during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emilio Enrique Rivera's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 2, 2024 - Present

FORTIS CAPITAL ADVISORS, LLC

RIA

RIA

CRD#: 7432

NEW YORK, NY

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".

FORTIS CAPITAL ADVISORS, LLC

CRD#: 309709 / SEC#: 801-119354

RIA

Registered Investment Advisory firm - (8/28/2020 Approved)

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.

Highlighted states indicate IAR registrations

IAR

New York
(8/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/10/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/21/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/17/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 3/24/2012

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 51

Date: 8/19/2010

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/2007

General Securities Principal Examination

Current Firm

FORTIS CAPITAL ADVISORS, LLC

CRD#: 309709 / SEC#: 801-119354

RIA

Registered Investment Advisory firm - (8/28/2020 Approved)

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

7301 Mission Road Suite 326, Prairie Village, KS 66208

Mailing Address

Phone number

(913) 222-8862

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PORTFOLIO MANAGER'S WRAP PROGRAM BROCHURE (3/30/2025)

FORTIS CAPITAL ADVISORS - ADV PART 2A FIRM BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,774
AUM (Assets Under Management)	$ 1,212,196,068

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Emilio E. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emilio Enrique Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MONY SECURITIES CORPORATION

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

JOSEPHTHAL & CO., INC.

LABRANCHE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

FORTIS CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/10/2009

Series 63

Date: 2/21/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/17/2001

Series 10

Date: 3/24/2012

Series 51

Date: 8/19/2010

Series 24

Date: 4/27/2007

Current Firm

FORTIS CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORTIS CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors