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RICHARD THOMAS RIVERA
DICK RIVERA
CRD#: 1397820
IA
Investment Adviser
B
Broker
DICK RIVERA & ASSOCIATESCRD#: 114409 5 PORTOFINO DR.
SUITE 1803
PENSACOLA BEACH, FL 32561
CALTON & ASSOCIATES, INC.CRD#: 20999 5 Portofino Drive
Suite 1803
Pensacola Beach, FL 32561
Registration History
198519901995200020052010201520202025IADICK RIVERA & ASSOCIATES (CRD# 114409)2016 - Present (8 years)BCALTON & ASSOCIATES, INC. (CRD# 20999)2008 - Present (16 years)BSWS FINANCIAL SERVICES (CRD# 17587)1991 - 2008 (16 years)BMUTUAL BENEFIT FINANCIAL SERVI... (CRD# 4882)1986 - 1991 (5 years)BFIRST AMERICAN NATIONAL SECURI... (CRD# 10111)1986 - 1986 (<1 year)BBROKERS EXCHANGE, INC. (CRD# 7894)1985 - 1985 (<1 year)IASWS FINANCIAL SERVICES (CRD# 17587)1991 - 2005 (13 years)
Disclosure(s)
View By:
10/28/2024
Regulatory
Final
License(s)

State Registrations

B
Arkansas 6/30/2008

B
North Carolina 6/30/2008

B
Colorado 6/30/2008

B
Ohio 1/2/2022

B
Florida 6/29/2011

B
Oklahoma 6/30/2008

IA
Florida 10/28/2024

B
Texas 6/30/2008

B
Illinois 1/16/2009

IA
Texas 3/22/2016

B
Indiana 6/30/2008

B
Virginia 6/30/2008

B
Massachusetts 11/11/2008

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
DICK RIVERA & ASSOCIATES (CRD#:114409)
5 PORTOFINO DR. SUITE 1803, PENSACOLA BEACH, FL 32561
Registered with this firm since 3/22/2016

B
CALTON & ASSOCIATES, INC. (CRD#:20999)
5 Portofino Drive Suite 1803, Pensacola Beach, FL 32561
Registered with this firm since 6/30/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
B
11/15/1991 - 07/01/2008 SWS FINANCIAL SERVICES (CRD#:17587) DALLAS, TX
IA
11/15/1991 - 01/06/2005 SWS FINANCIAL SERVICES (CRD#:17587) DALLAS, TX
B
10/16/1986 - 11/21/1991 MUTUAL BENEFIT FINANCIAL SERVICE COMPANY (CRD#:4882)
B
04/21/1986 - 10/23/1986 FIRST AMERICAN NATIONAL SECURITIES, INC. (CRD#:10111)
B
08/21/1985 - 12/27/1985 BROKERS EXCHANGE, INC. (CRD#:7894)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.