Fortino R. Rivera
Professional summary
Fortino R Rivera was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Fortino is a previously registered financial professional and started their career in finance in 2014. Prior to being barred, Fortino had worked at 4 firms, which includes CENTAURUS FINANCIAL INC., INDEPENDENT FINANCIAL GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - April 25, 2019
CENTAURUS FINANCIAL, INC.
September 20, 2016 - April 25, 2019
CENTAURUS FINANCIAL, INC.
May 23, 2016 - September 20, 2016
INDEPENDENT FINANCIAL GROUP, LLC
May 23, 2016 - September 20, 2016
INDEPENDENT FINANCIAL GROUP, LLC
July 31, 2015 - May 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 2015 - May 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2015 - June 11, 2015
EDWARD JONES
September 26, 2014 - June 11, 2015
EDWARD JONES
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
Red Flags
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