Jose R. Riveron
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.
Jose Raul Riveron, who also goes by Jose R Riveron, Jose R. Riveron, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2001. Jose had worked at 9 firms and has passed the Series 66, Series 63, SIE 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
July 21, 2016 - December 4, 2017
IDB CAPITAL CORP.
May 2, 2014 - September 24, 2015
CITIGROUP GLOBAL MARKETS INC.
September 2, 2011 - April 25, 2014
UBS FINANCIAL SERVICES INC.
February 26, 2010 - September 6, 2011
HAPOALIM SECURITIES USA, INC.
August 8, 2007 - December 31, 2008
HAPOALIM SECURITIES USA, INC.
February 7, 2007 - July 31, 2007
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 2005 - March 31, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
April 23, 2003 - October 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 14, 2002 - October 1, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 2001 - April 11, 2002
J.P. MORGAN SECURITIES INC.
April 2, 2001 - May 1, 2001
JPMSI
March 6, 2001 - March 26, 2001
J.P. MORGAN SECURITIES 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
IDB CAPITAL CORP.
CRD#: 106032 / SEC#: , 8-53000
Contact information
FINRA licenses (29 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ISRAEL DISCOUNT BANK OF NEW YORK | SOLE SHAREHOLDER | |
| CASE, LESLIE KATHRYN | SECRETARY | 6058280 |
| CLANCY, PATRICIA ANNE | CHIEF OPERATING OFFICER, PRINCIPAL OPERATIONS OFFICER | 2753700 |
| FRAHER, NANCY ANN | DIRECTOR | 6132794 |
| GRANT, EDMOND F | DIRECTOR | 4058518 |
| KIM, EDWARD SANG | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6702617 |
| ROBERTS, DANIEL G | DIRECTOR | 6986015 |
| SAVIO, KENNETH JOSEPH | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 1428851 |
| SAVIO, KENNETH JOSEPH | INTERIM CHAIRMAN OF THE BOARD | 1428851 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 1699773 |
Disclosures
| Regulatory Event | 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.
