Otto L. Rivera

MINDFUL WEALTH LLC

St. Louis, MO 63109

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CRD#: 6287758

Professional summary

Otto Luis Rivera, CFP® is a registered financial advisor currently at MINDFUL WEALTH LLC located in St. Louis, Missouri.

Otto is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Otto has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Otto Luis Rivera's 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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

December 11, 2025 - Present

MINDFUL WEALTH LLC

Office #1: 5431 Chippewa St, St. Louis, MO 63109

RIA

CRD#: 284177

St. Louis, MO

Past

June 1, 2022 - December 9, 2025

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 108030

St. Cloud, FL

Past

November 3, 2014 - November 14, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Orlando, FL

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

Missouri
(12/11/2025)

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

Series 63

Date: 12/11/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/3/2014

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/9/2016

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/7/2015

General Securities Sales Supervisor - Options Module Examination

Current Firm

MINDFUL WEALTH LLC

CONNECTED FINANCIAL PLANNING | MINDFUL WEALTH LLC

CRD#: 284177 / SEC#:

Illinois

Registered Investment Advisory firm - (12/31/2018 Terminated)

Missouri

Registered Investment Advisory firm - (7/18/2016 Approved)

Texas

Registered Investment Advisory firm - (8/11/2016 Conditional Restricted)

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).

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Contact information

Main Address

5431 Chippewa St, St. Louis, MO 63109

Mailing Address

Phone number

(314) 462-2004

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	120
AUM (Assets Under Management)	$ 23,873,393

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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Otto L. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Otto Luis Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

MINDFUL WEALTH LLC

WHITE LIGHTHOUSE INVESTMENT MANAGEMENT, INC.

CHARLES SCHWAB & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/11/2014

SIE

Date: 10/1/2018

Series 7

Date: 11/3/2014

Series 10

Date: 5/9/2016

Series 9

Date: 12/7/2015

Current Firm

MINDFUL WEALTH LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MINDFUL WEALTH LLC

TRUST BUT VERIFY

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