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CARLOS RIVAS
CARLOS SILVERIO RIVAS
CRD#: 4429905
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 12470 OLIVE BLVD
CREVE COEUR, MO 63141
CETERA INVESTMENT SERVICES LLCCRD#: 15340 12470 Olive Boulevard
Creve Coeur, MO 63141
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2001 - 2002 (1 year)2 FIRMS2012 - 2013 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2014 - Present (11 years)BCETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - Present (11 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2011 (3 years)BONEAMERICA SECURITIES, INC. (CRD# 4173)2007 - 2008 (<1 year)BNATCITY INVESTMENTS, INC. (CRD# 17490)2005 - 2006 (<1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)2003 - 2005 (1 year)BONEAMERICA SECURITIES, INC. (CRD# 4173)2003 - 2003 (<1 year)BPARK AVENUE SECURITIES LLC (CRD# 46173)2002 - 2003 (<1 year)IACETERA INVESTMENT SERVICES LLC (CRD# 15340)2013 - 2014 (<1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2011 - 2011 (<1 year)
Disclosure(s)
View By:
6/29/2016
Customer Dispute
Settled
2/8/2013
Employment Separation After Allegations
License(s)

State Registrations

B
Florida 1/4/2024

B
Iowa 9/16/2021

B
Illinois 12/4/2019

IA
Missouri 1/21/2014

B
Indiana 6/28/2024

B
Missouri 2/1/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
12470 OLIVE BLVD, CREVE COEUR, MO 63141
Registered with this firm since 1/21/2014

B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
12470 Olive Boulevard, Creve Coeur, MO 63141
Registered with this firm since 5/10/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/10/2013 - 01/21/2014 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CLAYTON, MO
IA
01/04/2012 - 02/12/2013 PNC INVESTMENTS (CRD#:129052) O'FALLON, MO
B
01/04/2012 - 02/12/2013 PNC INVESTMENTS (CRD#:129052) O'FALLON, MO
IA
02/21/2011 - 12/02/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
B
09/12/2008 - 12/02/2011 WELLS FARGO ADVISORS, LLC (CRD#:19616) ST. LOUIS, MO
B
07/09/2007 - 04/14/2008 ONEAMERICA SECURITIES, INC. (CRD#:4173) ST LOUIS, MO
B
08/01/2005 - 06/19/2006 NATCITY INVESTMENTS, INC. (CRD#:17490) ST. LOUIS, MO
B
10/03/2003 - 05/20/2005 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
B
07/01/2003 - 10/10/2003 ONEAMERICA SECURITIES, INC. (CRD#:4173) INDIANAPOLIS, IN
B
12/12/2002 - 07/15/2003 PARK AVENUE SECURITIES LLC (CRD#:46173) NEW YORK, NY
B
08/10/2001 - 10/07/2002 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
08/10/2001 - 10/07/2002 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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B
Broker
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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.