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Amanda C. De La Riva

Some features on this profile are disabled
CRD#: 5560436
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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.

Amanda Christine De La Riva, AIF®, who also goes by Amanda Christine De Lariva, Amanda Christine Delariva, was a registered financial professional .

Amanda is a previously registered financial professional and started their career in finance in 2010. Amanda had worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amanda Christine De Lariva | Amanda Christine Delariva

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

June 14, 2010 - May 23, 2016

FMN CAPITAL CORPORATION

BD
CRD#: 38105
MISSION VIEJO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/11/2010
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FC
FMN CAPITAL CORPORATION
FMN CAPITAL CORPORATION | FMN SECURITIES CORPORATION

CRD#: 38105 / SEC#: , 8-48082

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
26041 Acero, Mission Viejo, CA 92691
Mailing Address
26041 Acero, Mission Viejo, CA 92691
Phone number
(949) 455-0300
Established
California since 01/31/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JEFFREY G. MERWIN IRREVOCABLE TRUST DATED 12.29.2021OWNER
MATTHEW M. MERWIN IRREVOCABLE TRUST DATED 12.28.2021OWNER
JOHN J. MERWIN IRREVOCABLE TRUST DATED 12.28.2021OWNER
MERWIN, JOHN JTRUSTEE6249352
MERWIN, MATTHEW SCOTTFOUNDER/OWNER1142898
MERWIN, JEFFREY GEORGECHIEF COMPLIANCE OFFICER/TRUSTEE5165996
MERWIN, MATTHEW MICHAELFINOP, PFO, POO/TRUSTEE5930281
TICKEL, GARY ARNOLDALTERNATE FINOP1100279

Disclosures

Regulatory Event1

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

FMN CAPITAL CORPORATION

CRD#: 38105

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