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JOSE C RIVERA
JOE RIVERA
CRD#: 825903
IA
B
JSW GLOBAL CAPITAL GROUPCRD#: 136295 1300 E. SHAW AVE. #130
FRESNO, CA 93710
FRESNO, CA 93710
LPL FINANCIAL LLCCRD#: 6413 1318 E SHAW AVE STE 305-A
FRESNO, CA 93710
FRESNO, CA 93710
0
Disclosures
48
Years of Experience
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State Registrations
B
Arkansas 7/12/2024
B
California 4/17/2024
IA
California 3/30/1990
B
Massachusetts 9/2/2024
SRO Registrations
B
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IA
Registered with this firm since 3/30/1990
B
Registered with this firm since 4/17/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/14/2007 - 04/17/2024 | FRESNO, CA | |
IA | 08/26/2009 - 08/16/2016 | FRESNO, CA | |
B | 03/31/1999 - 11/15/2007 | FRESNO, CA | |
B | 11/07/1989 - 03/31/1999 | IRVINE, CA | |
B | 10/24/1988 - 11/07/1989 | ||
B | 05/11/1984 - 12/06/1988 | ||
B | 03/17/1982 - 05/23/1984 | ||
B | 01/09/1980 - 03/17/1982 | ||
B | 08/17/1976 - 01/17/1980 |
01/09/1980 - 03/17/1982
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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.