Marco Antonio Rivera

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2012 → 09/2024
  Ameriprise Financial Services, Inc.
  Santa Rosa, CA
• 09/2024 → Present
  Lpl Financial
  Santa Rosa, CA

Previous Registrations

• 2012-05-14 → 2024-09-11
  Ameriprise Financial Services, Llc
  Windsor, CA
  Santa Rosa, CA
  Santa Rosa, CA
• 2010-06-01 → 2012-05-11
  Brokersxpress Llc
  Chicago, IL
  Windsor, CA
• 2009-05-04 → 2010-06-10
  Wells Fargo Investments, Llc
  Santa Rosa, CA
  Sebastopol, CA
  Petaluma, CA
  Santa Rosa, CA
• 2004-05-21 → 2009-05-04
  Banc Of America Investment Services, Inc.
  Walnut Creek, CA
  Walnut Creek, CA
  Sonoma, CA
• 2003-03-07 → 2004-05-25
  Citicorp Investment Services
  Sonoma, CA

Other Businesses

1- 08/2024 / Desward Peak Partners LLC / Business Entity For Tax/Investment Purposes Only / Non Inv Rltd / 200 hrs mnth / 8 hrs during trading / start 01/01/2022 2- 08/2024 / Apex Private Wealth Advisors / DBA for LPL Business (entity for LPL business) / Inv Rltd / 160 hrs mnth / 8 hrs during trading / start 01/01/2022

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-12-18
• S63 Uniform Securities Agent State Law Examination
  2001-11-26

Other Names

• Marco A. Rivera