Individual Firm
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Andrew Rivera
ANDREW BORJA RIVERA
CRD#: 4039094
IA
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J.P. MORGAN SECURITIES LLCCRD#: 79 5059 LAKEWOOD BOULEVARD
LAKEWOOD, CA 90712
LAKEWOOD, CA 90712
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Disclosures
25
Years of Experience
View By:
State Registrations
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Alabama 2/18/2022
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Nevada 10/29/2013
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Arizona 4/9/2013
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New Jersey 7/17/2023
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California 10/1/2012
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New York 1/11/2023
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California 10/1/2012
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Ohio 10/11/2016
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Colorado 5/13/2016
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Oregon 7/17/2023
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Florida 11/3/2023
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Rhode Island 7/17/2023
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Hawaii 12/10/2024
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Tennessee 1/6/2021
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Idaho 10/1/2012
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Texas 11/15/2013
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Maryland 9/26/2017
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Texas 11/18/2013
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Minnesota 11/22/2017
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Utah 7/17/2020
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Mississippi 5/13/2016
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Washington 7/11/2019
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Missouri 8/28/2024
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West Virginia 2/1/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 10/1/2012
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Registered with this firm since 10/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/02/2009 - 10/01/2012 | LAKEWOOD, CA | |
B | 05/02/2009 - 10/01/2012 | LAKEWOOD, CA | |
IA | 06/07/2006 - 05/02/2009 | LAKEWOOD, CA | |
B | 01/13/2003 - 05/02/2009 | LAKEWOOD, CA | |
B | 03/20/2000 - 01/27/2003 | SHERMAN OAKS, CA | |
B | 10/26/1999 - 02/29/2000 | LOS ANGELES, CA |
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.