Nicholas A. Rivera

MOSLEY WEALTH MANAGEMENT

Anaheim, CA 92806

Some features on this profile are disabled

CRD#: 7549836

Professional summary

Nicholas Antonio Rivera, who also goes by Nicholas A Rivera, Nicholas Rivera, is a registered financial advisor currently at MOSLEY WEALTH MANAGEMENT, INC. located in Anaheim, California.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicholas A Rivera | Nicholas 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Antonio Rivera's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 7, 2025 - Present

MOSLEY WEALTH MANAGEMENT, INC.

Office #1: 2401 E. Katella Avenue Suite 270, Anaheim, CA 92806

RIA

CRD#: 318592

Anaheim, CA

Past

April 22, 2024 - April 1, 2025

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

FORT WORTH, TX

Past

November 27, 2023 - April 1, 2025

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

SAN DIEGO, CA

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".

MOSLEY WEALTH MANAGEMENT, INC.

CRD#: 318592 / SEC#: 801-129053

RIA

Registered Investment Advisory firm - (11/20/2023 Approved)

Arizona

Registered Investment Advisory firm - (11/27/2023 Terminated)

California

Registered Investment Advisory firm - (12/27/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/28/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/27/2023 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.

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

California
(3/7/2025)

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

IAR

Series 65

Date: 2/23/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/2024

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/25/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/17/2023

Securities Industry Essentials Examination

Current Firm

MOSLEY WEALTH MANAGEMENT, INC.

CRD#: 318592 / SEC#: 801-129053

RIA

Registered Investment Advisory firm - (11/20/2023 Approved)

Arizona

Registered Investment Advisory firm - (11/27/2023 Terminated)

California

Registered Investment Advisory firm - (12/27/2023 Terminated)

Louisiana

Registered Investment Advisory firm - (11/28/2023 Terminated)

Texas

Registered Investment Advisory firm - (11/27/2023 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2401 E. Katella Avenue Suite 270, Anaheim, CA 92806

Mailing Address

Phone number

(714) 421-4288

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (10/14/2025)

Regulatory assets under management

Total Number of Accounts	1,081
AUM (Assets Under Management)	$ 185,148,365

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.

Similar Advisors

Kenneth Hickman

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brea, CA

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Nicholas A. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Antonio Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

MOSLEY WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2024

Series 63

Date: 1/26/2024

Series 6TO

Date: 11/25/2023

SIE

Date: 10/17/2023

Current Firm

MOSLEY WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MOSLEY WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors