Nicholas C. Rivas
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.
Nicholas Christopher Rivas was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2012. Nicholas had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - September 14, 2016
THE LEADERS GROUP, INC.
May 21, 2015 - July 1, 2015
THE LEADERS GROUP, INC.
May 1, 2012 - April 2, 2014
WADDELL & REED
March 12, 2012 - April 2, 2014
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
