AR
Alicia M. Rivera
KESTRA ADVISORY SERVICES
Austin, TX 78735
Some features on this profile are disabled
CRD#: 4337703
AR
Professional summary
Alicia Margarita Rivera, who also goes by Alicia Margarita Falcon, Alicia Margarita Falcon, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Alicia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Alicia has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Alicia Margarita Falcon | Alicia Margarita Falcon
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.
TRUSTEE FOR VERTICAL CHAPEL POSITION: Trustee NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/08/2024 ADDRESS: Vertical Chapel, 400 Old Post Rd, Kyle TX 78640, United States DESCRIPTION: A Trustee holds a vital position in managing the financial and operational aspects of Vertical Chapel, and supporting the church's Vision and Mission through responsible stewardship. As a Servant Leader, a Trustee's responsibilities include: 1. Legal and Financial Oversight:Trustees manage the church's financial resources, including budgeting, overseeing investments, and ensuring compliance with legal and tax regulations. 2. Property Management:Trustees oversee financial aspects related to the church's properties, including purchases, renovations, and general property expenses. 3. Policy Development:Trustees help develop and implement policies related to finances, property management, and other administrative areas. 4. Stewardship:Trustees act as stewards, ensuring funds and property are managed effectively and ethically to support the church's mission and ministry. 5. Legal Representation:Trustees may serve as the church's legal representatives in certain matters, such as signing contracts or agreements on behalf of Vertical Chapel. 6. Accountability:Trustees are accountable to the Lead Pastors and Elders, making decisions that align with Vertical Chapel's financial and property objectives. Name: FINANCE COMMITTEE MEMBER OF JAMES BOWIE HIGH SCHOOL BAND BOOSTER CLUB POSITION: Finance Committee Member NATURE: Counting and collecting payments received for the organization. INVESTMENT RELATED: No # OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/02/2025 ADDRESS: James Bowie High School Band Booster Club, 4103 W. Slaughter Lane, Austin TX 78749, United States DESCRIPTION: As a Finance Committee member, I will only collect cash, checks, or verify electronic payments at special events from parents whose students perform with the James Bowie High School Band. I will report the totals and deliver funds to the Booster Club Treasurer, who manages the bank deposits and withdrawals per the direction of the JBHS Band Booster Club Board of Trustees.
CRS (Client Relationship Summary) - RIA
Click below to view Alicia Margarita 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
April 12, 2023 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735RIA
CRD#: 283330
Austin, TX
Current
April 12, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
June 30, 2014 - March 3, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Austin, TX
Past
June 30, 2014 - March 3, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Austin, TX
Past
August 5, 2013 - July 1, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
AUSTIN, TX
Past
August 5, 2013 - July 1, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
AUSTIN, TX
Past
June 22, 2012 - August 14, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
AUSTIN, TX
Past
July 29, 2011 - August 14, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
AUSTIN, TX
Past
October 6, 2002 - June 10, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
AUSTIN, TX
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
Texas(4/12/2023)
IAR
Texas(4/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
