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DAVID LAWRENCE RIVERS II
DAVID L RIVERS, DAVID LAWRENCE RIVERS, DAVID LAWRENCE RIVERS II
CRD#: 5458087
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1600 JFK BLVD
PHILADELPHIA, PA 19103
Registration History
201220142016201820202022202420262 FIRMS2020 - 2021 (1 year)2 FIRMS2021 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BCITIZENS SECURITIES, INC. (CRD# 39550)2016 - 2017 (1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2012 - 2014 (2 years)
License(s)

State Registrations

B
Arizona 10/31/2023

B
Massachusetts 11/25/2024

B
California 10/31/2023

B
New Jersey 11/7/2023

B
Connecticut 2/15/2024

B
New York 10/31/2023

B
Delaware 9/25/2024

B
Oregon 5/16/2024

B
District of Columbia 2/15/2024

B
Pennsylvania 8/9/2023

B
Florida 10/31/2023

IA
Pennsylvania 8/9/2023

B
Georgia 1/2/2024

B
Rhode Island 4/4/2024

B
Maryland 11/7/2023

B
Virginia 11/26/2024

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

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)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1600 JFK BLVD, PHILADELPHIA, PA 19103
Registered with this firm since 8/9/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1600 JFK BLVD, PHILADELPHIA, PA 19103
Registered with this firm since 8/9/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/20/2021 - 08/02/2023 MORGAN STANLEY (CRD#:149777) Mount Laurel, NJ
B
12/16/2021 - 08/02/2023 MORGAN STANLEY (CRD#:149777) Mount Laurel, NJ
IA
03/10/2020 - 11/30/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) KING OF PRUSSIA, PA
B
02/03/2020 - 11/30/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) KING OF PRUSSIA, PA
B
04/15/2016 - 04/17/2017 CITIZENS SECURITIES, INC. (CRD#:39550) PHILADELPHIA, PA
B
10/29/2012 - 12/16/2014 PRUCO SECURITIES, LLC. (CRD#:5685) MARLTON, NJ
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B
Broker
IA
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.