Ricky N. Rivera

SAFEGUARD INVESTMENT ADVISORY GROUP

Corona, CA 92883

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CRD#: 5480478

Professional summary

Ricky Nmn Rivera, who also goes by Ricky Rivera, is a registered financial advisor currently at SAFEGUARD INVESTMENT ADVISORY GROUP, LLC located in Corona, California.

Ricky is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Ricky has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ricky Rivera

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.

HE OFFERS INSURANCE PRODUCTS TO CLIENTS THROUGH CALIFORNIA LIFE LICENSE# 0B51891 THROUGH RICKSHAW FINANCIAL & INSURANCE SERVICES, INC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricky Nmn Rivera'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

January 19, 2011 - Present

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Office #1: 4160 Temescal Canyon Road Suite 307, Corona, CA 92883

RIA

CRD#: 146132

Corona, CA

Past

February 21, 2008 - December 31, 2010

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

RIA

CRD#: 146132

CORONA, CA

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".

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

10 RETIREMENT | SAFEGUARD INVESTMENT ADVISORY GROUP, LLC | SAFEGUARD INVESTMENT ADVISORY GROUP

CRD#: 146132 / SEC#: 801-110651

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (7/14/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(1/19/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/14/2008

Uniform Investment Adviser Law Examination

Current Firm

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

10 RETIREMENT | SAFEGUARD INVESTMENT ADVISORY GROUP, LLC | SAFEGUARD INVESTMENT ADVISORY GROUP

CRD#: 146132 / SEC#: 801-110651

RIA

Registered Investment Advisory firm - (5/31/2017 Approved)

California

Registered Investment Advisory firm - (7/14/2017 Terminated)

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Contact information

Main Address

4160 Temescal Canyon Road Suite 307, Corona, CA 92883

Mailing Address

Phone number

(877) 213-7233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC ADV BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	3,452
AUM (Assets Under Management)	$ 603,514,079

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.

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Ricky N. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricky Nmn Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Primary Firm SEC Registration

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/14/2008

Current Firm

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAFEGUARD INVESTMENT ADVISORY GROUP, LLC

TRUST BUT VERIFY

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