Eileen M. Rivera

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CRD#: 6659777

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.

Eileen Mercedes Rivera, who also goes by Eileen M. Otis, Eileen Mercedes Otis, Eileen Otis, Eileen Mercedes Rivera Davila, was a registered financial professional .

Eileen is a previously registered financial professional and started their career in finance in 2016. Eileen had worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Eileen M. Otis | Eileen Mercedes Otis | Eileen Otis | Eileen Mercedes Rivera Davila

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.

Self-employed investment consultant that provides consulting services to Investment Advisors regarding asset allocation & investment policies. The business address is Carlos IF5, Mansiones Reales, Guaynabo, Puerto Rico 00969; Title: Founder; Start Date Feb 2020; Devotes approximately 80 hours/month to this business. Number of hours devoted to this business during securities trading hours varies but is approximately 3 trading days per week.

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®

None

Experience

Past

July 22, 2021 - March 29, 2023

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

RIA

CRD#: 134510

Guaynabo, PR

Past

September 16, 2016 - March 9, 2020

CONSULTIVA WEALTH MANAGEMENT, CORP.

RIA

CRD#: 111846

SAN JUAN, PR

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".

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

CRD#: 134510 / SEC#: 801-124853

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Connecticut

Registered Investment Advisory firm - (6/1/2022 Terminated)

Florida

Registered Investment Advisory firm - (5/17/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (3/12/2025 Terminated)

Maryland

Registered Investment Advisory firm - (5/23/2022 Terminated)

Minnesota

Registered Investment Advisory firm - (6/3/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (5/19/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (5/20/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (5/17/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/16/2016

Uniform Investment Adviser Law Examination

Current Firm

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

HERBERT J. SIM CAPITAL MANAGEMENT INC. | HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

CRD#: 134510 / SEC#: 801-124853

RIA

Registered Investment Advisory firm - (5/2/2022 Approved)

Connecticut

Registered Investment Advisory firm - (6/1/2022 Terminated)

Florida

Registered Investment Advisory firm - (5/17/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (3/12/2025 Terminated)

Maryland

Registered Investment Advisory firm - (5/23/2022 Terminated)

Minnesota

Registered Investment Advisory firm - (6/3/2022 Terminated)

New Jersey

Registered Investment Advisory firm - (5/19/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (5/20/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (5/17/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/17/2022 Terminated)

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Contact information

Main Address

2150 Post Road Suite 301, Fairfield, CT 06824

Mailing Address

Phone number

(203) 418-9000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

HJSCM ANNUAL 2A BROCHURE_MARCH 31, 2025 FINAL (3/27/2025)

HJSCM WRAP FEE PROGRAM BROCHURE-MARCH 31, 2025 FINAL (3/27/2025)

Regulatory assets under management

Total Number of Accounts	374
AUM (Assets Under Management)	$ 186,784,367

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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Eileen M. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

CONSULTIVA WEALTH MANAGEMENT, CORP.

Primary Firm SEC Registration

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/16/2016

Current Firm

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERBERT J. SIMS CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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