Individual Firm
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
NICOLA RIVERSO
NICK RIVERSO, NICO RIVERSO, NICOLA N/A RIVERSO
CRD#: 2351433
IA
B
ESI FINANCIAL ADVISORSCRD#: 265 200 SCHULZ DRIVE
SUITE 125
RED BANK, NJ 07701
SUITE 125
RED BANK, NJ 07701
0
Disclosures
31
Years of Experience
View By:
State Registrations
B
Connecticut 7/29/2016
B
North Carolina 8/4/2016
B
Delaware 8/4/2016
B
Ohio 8/4/2016
B
Florida 7/29/2016
B
Pennsylvania 7/29/2016
B
Illinois 3/1/2022
B
Rhode Island 8/3/2022
B
Massachusetts 3/24/2020
B
South Carolina 7/29/2016
B
New Hampshire 7/19/2023
B
Texas 3/9/2017
B
New Jersey 7/29/2016
B
Vermont 11/29/2019
IA
New Jersey 8/1/2016
B
Virginia 7/29/2016
B
New York 7/29/2016
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 8/1/2016
B
Registered with this firm since 7/29/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/28/2002 - 08/02/2016 | ROSELAND, NJ | |
B | 12/10/2001 - 08/02/2016 | ROSELAND, NJ | |
B | 12/10/2001 - 07/09/2007 | SHORT HILLS, NJ | |
B | 02/23/2001 - 10/05/2001 | NEW YORK, NY | |
B | 07/24/2000 - 03/22/2001 | NEWARK, NJ | |
B | 03/27/1997 - 07/06/2000 | MINNEAPOLIS, MN | |
B | 03/27/1997 - 07/06/2000 | MINNEAPOLIS, MN | |
B | 08/03/1995 - 11/27/1996 | RED BANK, NJ | |
B | 08/04/1994 - 05/26/1995 | NEW YORK, NY | |
B | 06/08/1994 - 08/10/1994 | NEW YORK, NY | |
B | 04/18/1994 - 06/10/1994 | NEW YORK, NY | |
B | 05/28/1993 - 04/20/1994 | RED BANK, NJ |
NEW YORK, NY
04/18/1994 - 06/10/1994
For additional information about investment advisers or broker-dealers, please visit
B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.