Ray C. Rivera
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.
Ray Cordaway Rivera JR was a registered financial professional .
Ray is a previously registered financial professional and started their career in finance in 1979. Ray had worked at 9 firms and has passed the Series 63, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 27, 1991 - June 5, 1993
SIGMA FINANCIAL CORPORATION
March 1, 1990 - July 11, 1991
ROGER J. LANGE AND COMPANY, INC.
September 22, 1987 - February 17, 1990
SHELTER ROCK SECURITIES CORP.
June 2, 1986 - September 22, 1987
J.P. MORGAN SECURITIES LLC
July 24, 1984 - June 10, 1986
FINANCIAL SQUARE PARTNERS
March 15, 1983 - June 27, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 1980 - February 3, 1983
ZAHORIK COMPANY, INC.
May 16, 1980 - December 16, 1980
CONFERENCE CONCEPTS, INC.
July 2, 1979 - May 16, 1980
JOSEPH P. MCGIVNEY AND ASSOCIATES, INC.
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
Series 1
Date: 6/27/1979
Registered Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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.
