Alexander V. Rivas

CETERA INVESTMENT ADVISERS LLC | Regional Director, Business Development

AUSTIN, TX 78750

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CRD#: 4802767

Professional summary

Alexander Victor Rivas, who also goes by Alexander VIctor Rivas Mr, Alexander Rivas, Alexander Victor Rivas, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Austin, Texas and CETERA WEALTH SERVICES, LLC located in Dallas, Texas.

Alexander is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Alexander has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Biography

Alex recruits and works with tax-focused Financial Professionals to strengthen their value proposition with Tax-Intelligent Investing™. With more than 15 years of experience in financial services, Alex believes the majority of financial planning is tax planning and there is power in a holistic approach with clients. Alex has a Bachelor of Business Administration from the University of North Texas and holds his Series 7, 63 and 65 licenses.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alexander Victor Rivas Mr | Alexander Rivas | Alexander Victor 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.

TICKETFANS POSITION: OWNER NATURE: TICKETBROKER INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2009 ADDRESS: TicketFans.com 2000 E. Lamar Boulevard Arlington, TX 76006 United States DESCRIPTION: Ticket broker for events. Review orders on the weekend twenty-two hours per month. Website TicketFans.com is automated.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alexander Victor 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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 13809 Research Blvd. Ste 900, Austin, TX 78750Office #2: 3200 Olympus Blvd. Suite 100, Dallas, TX 75019

RIA

CRD#: 105644

AUSTIN, TX

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Olympus Blvd Suite 100, Dallas, TX 75019

CRD#: 13572

DALLAS, TX

Current

September 10, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 3200 Olympus Blvd Ste 100, Dallas, TX 75019

CRD#: 10358

DALLAS, TX

Past

April 8, 2019 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

April 2, 2019 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Dallas, TX

Past

December 19, 2016 - September 28, 2018

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

Dallas, TX

Past

December 23, 2013 - September 28, 2018

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

June 15, 2012 - December 4, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

DALLAS, TX

Past

May 10, 2010 - July 14, 2010

MORGAN STANLEY

CRD#: 149777

DALLAS, TX

Past

January 1, 2008 - February 23, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

LEWISVILLE, TX

Past

April 4, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

LEWISVILLE, TX

Past

June 22, 2006 - April 4, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

August 9, 2004 - November 16, 2004

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

Texas
(9/5/2025)

IAR

Texas
(9/5/2025)

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 65

Date: 12/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/28/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/2004

General Securities 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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Alexander V. Rivas

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/19/2016

Series 63

Date: 7/13/2006

SIE

Date: 9/28/2018

Series 7

Date: 8/5/2004

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

Contact information

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