Individual Firm
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PETER ANDREW RIVOIR
CRD#: 4494895
IA
B
VALIC FINANCIAL ADVISORS, INC.CRD#: 42803 GREENLAWN, NY
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Arizona 1/7/2014
B
Nevada 3/8/2016
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Arizona 1/23/2014
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Nevada 3/24/2016
B
California 1/7/2014
B
New Jersey 4/24/2006
IA
California 1/8/2014
IA
New Jersey 6/30/2010
B
Connecticut 7/11/2006
B
New York 4/24/2006
IA
Connecticut 6/30/2010
IA
New York 8/16/2021
B
Delaware 12/6/2010
B
North Carolina 1/7/2014
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Delaware 12/6/2010
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North Carolina 1/15/2014
B
Florida 1/7/2014
B
Pennsylvania 3/5/2010
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Florida 1/9/2014
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Pennsylvania 6/30/2010
B
Hawaii 3/27/2017
B
Rhode Island 7/26/2013
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Hawaii 3/28/2017
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Rhode Island 7/26/2013
B
Maryland 1/17/2025
B
South Dakota 4/1/2016
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Maryland 1/17/2025
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South Dakota 4/4/2016
B
Massachusetts 3/24/2017
B
Texas 10/6/2020
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Massachusetts 4/19/2017
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Texas 10/7/2020
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/14/2006 - 04/19/2006 | PORT JEFFERSON STATION, NY | |
B | 12/06/2005 - 03/13/2006 | JERICHO, NY | |
B | 12/06/2005 - 03/13/2006 | JERICHO, NY | |
B | 06/03/2003 - 12/31/2005 | SOMERSET, NJ | |
B | 07/30/2002 - 06/09/2003 | EL SEGUNDO, 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.
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.