Xavier A. Riera
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.
Xavier Antoine Riera was a registered financial professional .
Xavier is a previously registered financial professional and started their career in finance in 2001. Xavier had worked at 4 firms and has passed the Series 63, Series 55 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
June 9, 2011 - August 30, 2012
BLUEFIN CAPITAL MANAGEMENT, LLC
July 1, 2009 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
April 24, 2008 - June 30, 2009
KELLOGG CAPITAL GROUP LLC
August 9, 2001 - January 29, 2002
CREDIT AGRICOLE SECURITIES (USA) 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
Series 55
Date: 5/5/2008
Limited Representative-Equity Trader ExamCurrent Firm
BLUEFIN CAPITAL MANAGEMENT, LLC
CRD#: 113892 / SEC#: , 8-53382
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 18 |
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.
