Andres Riverway
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.
Andres Riverway, who also goes by Andres Maximiliano Rivera, Andres Rivera, Andres Maximiliano Riverway, Dre Riverway, Max Riverway, was a registered financial professional .
Andres is a previously registered financial professional and started their career in finance in 2008. Andres had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2020 - August 5, 2022
ROBINHOOD FINANCIAL, LLC
January 24, 2019 - May 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 23, 2019 - May 11, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2017 - June 5, 2018
GHP INVESTMENT ADVISORS INC
October 5, 2015 - March 6, 2017
STRATEGIC ADVISERS LLC
March 18, 2014 - March 6, 2017
FIDELITY BROKERAGE SERVICES LLC
July 1, 2011 - March 11, 2014
CHARLES SCHWAB & CO., INC.
June 27, 2011 - March 11, 2014
CHARLES SCHWAB & CO., INC.
February 5, 2008 - September 24, 2009
EDWARD JONES
January 7, 2008 - September 24, 2009
EDWARD JONES
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
Current Firm
ROBINHOOD FINANCIAL, LLC
CRD#: 165998 / SEC#: , 8-69188
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | 100% OWNER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP | 3103432 |
| KOLLER, WALTER | CHIEF OPERATING OFFICER | 1932260 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 55 |
| Arbitration | 6 |
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.
