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JR

Jacqueline M. Rivera

Some features on this profile are disabled
CRD#: 6880537
JR

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.

Jacqueline Marie Rivera, who also goes by Jacqueline Marie Rivera, Jacqueline M Rivera, was a registered financial professional .

Jacqueline is a previously registered financial professional and started their career in finance in 2017. Jacqueline had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jacqueline Marie Rivera | Jacqueline M Rivera

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.
(1) Name of Entity: Costal Notary Group; Non investment-related; Address: 94 Carleton Ave , Islip Terrace , NY 11752; Nature of OBA: Provide notary services to my local community in Long Island , NY; Position/Title/Relationship: Sole Proprietor; Start Date: 2025-05-01; Time devoted: 5 hours per month; 0 during securities trading hours; Duties: Provide the notary services to the clients, ensure the identity of the person signing and ensure strict New York State notary guidelines and procedures. .

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

May 20, 2024 - September 29, 2025

CITY NATIONAL ROCHDALE

RIA
CRD#: 117198
New York, NY
Past

May 20, 2024 - September 29, 2025

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

April 28, 2023 - May 10, 2024

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
New York City, NY
Past

February 10, 2021 - May 10, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
New York City, NY
Past

December 15, 2017 - January 22, 2021

SANTANDER SECURITIES LLC

BD
CRD#: 41791
STATEN ISLAND, NY

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".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)

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
IAR
Series 66
Date: 4/15/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/13/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/4/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/2017
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)
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Contact information

Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)
CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts41,300
AUM (Assets Under Management)$ 68,177,828,012

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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

CITY NATIONAL ROCHDALE

CRD#: 117198

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