Carlos Rivas

CETERA INVESTMENT ADVISERS LLC

CREVE COEUR, MO 63141

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CRD#: 4429905

Professional summary

Carlos Rivas, who also goes by Carlos Silverio Rivas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Creve Coeur, Missouri and CETERA INVESTMENT SERVICES LLC located in Creve Coeur, Missouri.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carlos has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Silverio Rivas

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.)INVESTMENT REAL ESTATE, LANDLORD, MAINTENANCE, AND RENT COLLECTION. 4 HOURS PER MONTH, $1200 PER YEAR. 2.) UMPIRE OFFICIAL FOR MISSOURI UMPIRE ASSOCIATION. 4 HOURS PER WEEK, $55 PER GAME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Rivas'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

January 21, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 12470 Olive Blvd, Creve Coeur, MO 63141

RIA

CRD#: 105644

CREVE COEUR, MO

Current

May 10, 2013 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 12470 Olive Boulevard, Creve Coeur, MO 63141

CRD#: 15340

Creve Coeur, MO

Past

May 10, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

CLAYTON, MO

Past

January 4, 2012 - February 12, 2013

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

O'FALLON, MO

Past

January 4, 2012 - February 12, 2013

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

O'FALLON, MO

Past

February 21, 2011 - December 2, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

September 12, 2008 - December 2, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 9, 2007 - April 14, 2008

ONEAMERICA SECURITIES, INC.

CRD#: 4173

ST LOUIS, MO

Past

August 1, 2005 - June 19, 2006

NATCITY INVESTMENTS, INC.

CRD#: 17490

ST. LOUIS, MO

Past

October 3, 2003 - May 20, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 1, 2003 - October 10, 2003

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

December 12, 2002 - July 15, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 10, 2001 - October 7, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

August 10, 2001 - October 7, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

Florida
(1/4/2024)

Illinois
(12/4/2019)

Indiana
(6/28/2024)

Iowa
(9/16/2021)

IAR

Missouri
(1/21/2014)

Missouri
(2/1/2019)

Oregon
(3/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/7/2002

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: 12/10/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/9/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Carlos Rivas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Rivas's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

ONEAMERICA SECURITIES, INC.

NATCITY INVESTMENTS, INC.

A. G. EDWARDS & SONS, INC.

ONEAMERICA SECURITIES, INC.

PARK AVENUE SECURITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/18/2011

Series 63

Date: 3/7/2002

SIE

Date: 10/1/2018

Series 7

Date: 12/10/2003

Series 6

Date: 8/9/2001

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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