Alexander Rivas
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.
Alexander Rivas, who also goes by Alexander VIctor Rivas Mr, Alexander Rivas, Alexander Victor Rivas, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2004. Alexander had worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2025 - August 24, 2026
CETERA FINANCIAL SPECIALISTS LLC
September 5, 2025 - August 24, 2026
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - August 24, 2026
CETERA WEALTH SERVICES, LLC
April 8, 2019 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
April 2, 2019 - September 5, 2025
AVANTAX ADVISORY SERVICES
December 19, 2016 - September 28, 2018
1ST GLOBAL ADVISORS INC
December 23, 2013 - September 28, 2018
1ST GLOBAL CAPITAL CORP.
June 15, 2012 - December 4, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 10, 2010 - July 14, 2010
MORGAN STANLEY
January 1, 2008 - February 23, 2009
FIDELITY BROKERAGE SERVICES LLC
April 4, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
June 22, 2006 - April 4, 2007
FIDELITY BROKERAGE SERVICES LLC
August 9, 2004 - November 16, 2004
FIDELITY BROKERAGE SERVICES LLC
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
What does exam status mean?
Current Firm
CETERA FINANCIAL SPECIALISTS LLC
CRD#: 10358 / SEC#: , 8-27082
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BANKS, ELAYNE CAMILLE | VICE PRESIDENT | 3070202 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | CHIEF COMPLIANCE OFFICER | 4710068 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| MOLNAR, MICHAEL JAMES | VICE PRESIDENT | 4866129 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| NILAND, ERIK BRADLEY | VICE PRESIDENT | 2796476 |
| PATTERSON, GERALD | VICE PRESIDENT | 4302538 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| ROTHENBERG, JON HOWARD | VICE PRESIDENT | 2737327 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | MANAGER, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4780880 |
| WENIG, HARLAN DAVID | VICE PRESIDENT | 4690768 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
Company Information
CETERA FINANCIAL SPECIALISTS LLC
Regional Director, Business DevelopmentCRD#: 10358TRUST BUT VERIFY
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