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Detailed Report
Ethan Rivas
ETHAN OLIVER RIVAS, ETHAN RIVAS
CRD#: 6302773
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
Lone Tree, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2021 (4 years)IASCHWAB WEALTH ADVISORY, INC. (CRD# 159035)2023 - Present (1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2021 - Present (3 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2021 - 2023 (1 year)
License(s)

State Registrations

B
Arizona 7/24/2024
B
Missouri 5/4/2024
B
Arkansas 7/4/2024
B
Nevada 2/13/2024
B
California 8/6/2021
B
New Jersey 2/7/2024
B
Colorado 8/6/2021
B
New Mexico 2/6/2024
IA
Colorado 6/21/2023
B
North Dakota 3/1/2022
B
Connecticut 3/1/2022
B
Ohio 8/6/2021
B
Delaware 10/2/2023
B
Oregon 10/2/2024
B
Illinois 8/6/2021
B
Pennsylvania 1/8/2024
B
Indiana 8/6/2021
B
South Carolina 3/7/2024
B
Iowa 1/14/2023
B
Texas 8/6/2021
B
Louisiana 1/9/2023
IA
Texas 6/21/2023
B
Maryland 1/3/2024
B
Virginia 7/4/2024
B
Massachusetts 3/1/2022
B
Washington 8/6/2021
B
Michigan 3/5/2024
B
West Virginia 3/5/2024
B
Minnesota 1/8/2024
B
Wisconsin 8/6/2021
B
Mississippi 1/14/2023
B
Wyoming 1/23/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

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
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 6/21/2023
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 8/6/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/06/2021 - 06/21/2023 CHARLES SCHWAB & CO., INC. (CRD#:5393) SAN FRANCISCO, CA
IA
 07/03/2017 - 07/20/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MESA, AZ
B
 07/03/2017 - 07/20/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) MESA, AZ
IA
 12/19/2016 - 06/07/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
B
 12/06/2016 - 06/07/2017 CHARLES SCHWAB & CO., INC. (CRD#:5393) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.