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Detailed Report
RICHARD ANTHONY RIVA
Richard A Riva
CRD#: 2157887
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Investment Adviser
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Broker
BALBOA WEALTH PARTNERS, INC.CRD#: 282329 Costa Mesa, CA
WILLOW COVE INVESTMENT GROUP, INC.CRD#: 107824 COSTA MESA, CA
Registration History
19952000200520102015202020252 FIRMS2001 - 2003 (2 years)2 FIRMS2024 - Present (<1 year)BBALANCED SECURITY PLANNING, INC. (CRD# 4038)2023 - 2023 (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2003 - 2023 (19 years)BWELLS FARGO SECURITIES INC. (CRD# 17438)1993 - 2001 (7 years)BMARKETING ONE SECURITIES, INC. (CRD# 16611)1993 - 1993 (<1 year)IAWEALTH MANAGEMENT SOLUTIONS, LLC (CRD# 314170)2021 - 2024 (3 years)IAFINANCIAL ADVOCATES INVESTMENT... (CRD# 151298)2017 - 2021 (3 years)IALPL FINANCIAL LLC (CRD# 6413)2018 - 2018 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2003 - 2018 (14 years)
Disclosure(s)
View By:
1/26/2017
Customer Dispute
Denied
License(s)

State Registrations

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California 5/1/2024
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Nevada 6/6/2024
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California 6/6/2024
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Texas 8/21/2024

SRO Registrations

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 FINRA

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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WILLOW COVE INVESTMENT GROUP, INC. (CRD#:107824)
COSTA MESA, CA
Registered with this firm since 6/6/2024
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BALBOA WEALTH PARTNERS, INC. (CRD#:282329)
Costa Mesa, CA
Registered with this firm since 5/1/2024
Previous Registration(s)
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 05/20/2021 - 05/01/2024 WEALTH MANAGEMENT SOLUTIONS, LLC (CRD#:314170) NEWPORT BEACH, CA
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 07/06/2023 - 08/28/2023 BALANCED SECURITY PLANNING, INC. (CRD#:4038) NEWPORT BEACH, CA
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 10/10/2003 - 08/10/2023 LPL FINANCIAL LLC (CRD#:6413) NEWPORT BEACH, CA
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 11/14/2017 - 07/15/2021 FINANCIAL ADVOCATES INVESTMENT MANAGEMENT (CRD#:151298) Newport Beach, CA
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 03/16/2018 - 07/16/2018 LPL FINANCIAL LLC (CRD#:6413) NEWPORT BEACH, CA
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 10/14/2003 - 03/02/2018 LPL FINANCIAL LLC (CRD#:6413) NEWPORT BEACH, CA
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 05/15/2001 - 10/07/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) NEWPORT BEACH, CA
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 05/02/2001 - 10/07/2003 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
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 11/19/1993 - 05/02/2001 WELLS FARGO SECURITIES INC. (CRD#:17438) SAN FRANCISCO, CA
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 08/30/1993 - 11/19/1993 MARKETING ONE SECURITIES, INC. (CRD#:16611) PORTLAND, OR
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.