Miguel De La Riva
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.
Miguel De La Riva, who also goes by Miguel Delarivaaguilar, was a registered financial professional .
Miguel is a previously registered financial professional and started their career in finance in 2004. Miguel had worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2019 - January 8, 2020
OPENDEAL BROKER LLC
April 6, 2004 - April 13, 2004
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 6/20/2019
General Securities Representative ExaminationCurrent Firm
OPENDEAL BROKER LLC
CRD#: 291387 / SEC#: , 8-70055
Contact information
FINRA licenses (51 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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