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Detailed Report
DAVID RIVERA RIVERA
DAVID RIVERA, DAVID E RIVERA RIVERA, David E Rivera, David Emmanuel Rivera
CRD#: 7203574
IA
Investment Adviser
B
Broker
CITIGROUP GLOBAL MARKETS INC.CRD#: 7059 CWM Retail, Sales
830 PORT WASHINGTON BLVD
PORT WASHINGTON, NY 11050
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct2026Apr2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
New York 8/21/2023
IA
New York 11/30/2023

SRO Registrations

B
 FINRA

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
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 830 PORT WASHINGTON BLVD, PORT WASHINGTON, NY 11050
CWM Retail, Sales 51 Middle Neck Road, Great Neck, NY 11021
Registered with this firm since 11/30/2023
B
CITIGROUP GLOBAL MARKETS INC. (CRD#:7059)
CWM Retail, Sales 830 PORT WASHINGTON BLVD, PORT WASHINGTON, NY 11050
CWM Retail, Sales 51 Middle Neck Road, Great Neck, NY 11021
Registered with this firm since 7/18/2023
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.