Carlo R. Rivera
Professional summary
Carlo Renato Rivera, who also goes by Carlo R. Rivera, Carlo Renato Rivera, Carlo R Rivera Rabideau, Carlo Renato Rivera Rabideau, Carlo R Rivera-rabideau, Carlo Renato Rivera-rabideau, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Carlo is registered as a RR (Registered Representative) and started their career in finance in 2002. Carlo has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlo Renato Rivera's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2019 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169April 29, 2019 - May 2, 2019
INTL FCSTONE CREDIT TRADING LLC
February 2, 2016 - April 17, 2019
MORGAN STANLEY
December 22, 2015 - April 17, 2019
MORGAN STANLEY
May 24, 2004 - November 16, 2015
INTL FCSTONE CREDIT TRADING LLC
July 25, 2003 - May 20, 2004
FINACORP SECURITIES
November 25, 2002 - May 2, 2003
INVESTMENT PLACEMENT GROUP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/31/2022)
(1/31/2022)
(2/1/2022)
(2/3/2025)
(2/9/2022)
(2/1/2022)
(4/25/2019)
(2/4/2025)
(4/25/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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