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Detailed Report
Valerie Ann Rivera
VALERIE ANN GARCIA, VALERIE ANN RIVERA
CRD#: 6149032
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Investment Adviser
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Previous Broker
FIRSTGEN WEALTHCRD#: 319368 CHICAGO, IL
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (1 year)2 FIRMS2017 - 2020 (3 years)IAFIRSTGEN WEALTH (CRD# 319368)2022 - Present (3 years)BDEUTSCHE AM DISTRIBUTORS, INC. (CRD# 37306)2014 - 2016 (1 year)BSANFORD C. BERNSTEIN & CO., LLC (CRD# 104474)2013 - 2014 (<1 year)IAFACET WEALTH, INC (CRD# 285961)2020 - 2022 (1 year)
License(s)

State Registrations

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California 4/7/2023
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New York 5/25/2023
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Illinois 4/19/2022
Current Registration(s)
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FIRSTGEN WEALTH (CRD#:319368)
CHICAGO, IL
Registered with this firm since 4/19/2022
Previous Registration(s)
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 11/12/2020 - 01/12/2022 FACET WEALTH, INC (CRD#:285961) Chicago, IL
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 08/30/2017 - 11/13/2020 ADVICE AND PLANNING SERVICES (CRD#:20472) CHICAGO, IL
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 08/30/2017 - 11/13/2020 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) CHICAGO, IL
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 07/25/2016 - 08/03/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
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 06/30/2016 - 08/03/2017 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) CHICAGO, IL
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 08/20/2014 - 06/23/2016 DEUTSCHE AM DISTRIBUTORS, INC. (CRD#:37306) CHICAGO, IL
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 08/06/2013 - 07/31/2014 SANFORD C. BERNSTEIN & CO., LLC (CRD#:104474) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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
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.