Jose M. Rivera

NOBLES & RICHARDS

Phoenix, AZ 85054

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CRD#: 7751909

Professional summary

Jose Manuel Rivera, who also goes by Jj Rivera, is a registered financial professional currently at NOBLES & RICHARDS, INC. located in Phoenix, Arizona.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2023. Jose has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jj 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) - BD

Click below to view Jose Manuel 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

June 30, 2025 - Present

NOBLES & RICHARDS, INC.

Office #1: 6811 E Mayo Blvd Fl 2, Phoenix, AZ 85054

CRD#: 146870

Phoenix, AZ

Past

December 7, 2023 - January 7, 2025

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Scottsdale, AZ

Past

October 18, 2023 - January 7, 2025

MML INVESTORS SERVICES, LLC

CRD#: 10409

Scottsdale, AZ

Past

August 25, 2023 - October 13, 2023

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

YOUNGSTOWN, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/30/2025)

Alaska
(6/30/2025)

Arizona
(7/2/2025)

Arkansas
(6/30/2025)

California
(6/30/2025)

Colorado
(7/3/2025)

Connecticut
(6/30/2025)

Delaware
(6/30/2025)

District of Columbia
(6/30/2025)

Florida
(6/30/2025)

Georgia
(6/30/2025)

Hawaii
(6/30/2025)

Idaho
(6/30/2025)

Illinois
(6/30/2025)

Indiana
(6/30/2025)

Iowa
(6/30/2025)

Kansas
(6/30/2025)

Kentucky
(6/30/2025)

Louisiana
(6/30/2025)

Maine
(6/30/2025)

Maryland
(6/30/2025)

Massachusetts
(6/30/2025)

Michigan
(6/30/2025)

Minnesota
(6/30/2025)

Mississippi
(6/30/2025)

Missouri
(6/30/2025)

Montana
(6/30/2025)

Nebraska
(6/30/2025)

Nevada
(6/30/2025)

New Hampshire
(6/30/2025)

New Jersey
(6/30/2025)

New Mexico
(6/30/2025)

New York
(6/30/2025)

North Carolina
(6/30/2025)

North Dakota
(6/30/2025)

Ohio
(7/2/2025)

Oklahoma
(6/30/2025)

Oregon
(6/30/2025)

Pennsylvania
(6/30/2025)

Rhode Island
(6/30/2025)

South Carolina
(6/30/2025)

South Dakota
(6/30/2025)

Tennessee
(6/30/2025)

Texas
(6/30/2025)

Utah
(6/30/2025)

Vermont
(6/30/2025)

Virginia
(6/30/2025)

Washington
(6/30/2025)

West Virginia
(6/30/2025)

Wisconsin
(6/30/2025)

Wyoming
(6/30/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 11/28/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/25/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/20/2023

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

NOBLES & RICHARDS, INC.

CRD#: 146870 / SEC#: , 8-67859

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

801 East Plano Parkway Suite 220, Plano, TX 75074

Mailing Address

801 East Plano Parkway Suite 220, Plano, TX 75074

Phone number

(214) 642-6603

Established

Texas since 10/02/2007

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TELEMARKETING LAW COMPLIANCE, LLC	SHAREHOLDER
NOBLES, ILONKA	PRESIDENT/CCO	2704881
RICHARDS, JAMES ROSS	CFO/FINOP	2680389

Disclosures

Regulatory Event

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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Jose M. Rivera

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jose Manuel Rivera's CRS (Customer Relationship Summary).

Certified licenses

Experience

NOBLES & RICHARDS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

W&S BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/28/2023

Series 7TO

Date: 8/25/2023

SIE

Date: 5/20/2023

FINRA

Current Firm

NOBLES & RICHARDS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NOBLES & RICHARDS, INC.

TRUST BUT VERIFY

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