Robert L. Riviere
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.
Robert Lee Riviere, who also goes by Rob Riviere, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2018 - December 12, 2019
HERITAGE FINANCIAL SYSTEMS, LLC
June 23, 1999 - June 22, 2016
RIVIERE SECURITIES LTD.
December 18, 1997 - February 3, 1999
BARTON CREEK CAPITAL CORPORATION
October 31, 1994 - September 4, 1997
TEJAS SECURITIES GROUP, INC.
August 2, 1993 - December 31, 1993
MORGAN KEEGAN & COMPANY, LLC
December 29, 1979 - August 2, 1993
CAPITOL SECURITIES GROUP, INC.
September 1, 1976 - November 5, 1983
LANDMARK INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HERITAGE FINANCIAL SYSTEMS, LLC
CRD#: 133019 / SEC#: , 8-66670
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Civil Event | 1 |
Red Flags
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