Ricardo Gustavo Rivers

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-04-23
NJ	RA	APPROVED	2007-11-13

TX RA
APPROVED_RES

Since 2015-04-23
NJ RA
APPROVED

Since 2007-11-13

Branch Locations

302 Carnegie Center Stes 102 & 104, Princeton, NJ 08540 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ricardo G. Rivers	New York	NY	08/2004	Present
Wells Fargo Advisors Llc	New York	NY	05/2009	11/2016
Wells Fargo Clearing Services, Llc	New York	NY	11/2016	Present

08/2004 → Present

Ricardo G. Rivers

New York, NY
05/2009 → 11/2016

Wells Fargo Advisors Llc

New York, NY
11/2016 → Present

Wells Fargo Clearing Services, Llc

New York, NY

Other Businesses

EXECUTOR FOR MOTHER; INV RELATED; GULFPORT, MS; START: 7/28/16; 3 HRS/MO; 0 DURING TRADING. MANALAPAN BUSINESS ASSOCIATION; NOT INV. RELATED; MANALAPAN, NJ; TREASURER; PROFESSIONAL BUSINESS NETWORKING; START DATE 5/1/2017; 5 HRS PER MONTH; 0 HRS TRADING. EXECUTOR FOR FATHER; INV. RELATED; MANALAPAN, NJ; START DATE 4/2019; 10 HRS PER MONTH; 0 HRS DURING TRADING. FRANKLIN & MARSHALL COLLEGE; NOT INV RELATED;LANCASTER,PA; COLLEGE BOARD OF TRUSTEES MEMBER; BOARD OF TRUSTEES; START DATE: 7/1/2026; 5 HRS PER MONTH; 0 HRS DURING TRADING; FRANKLIN & MARSHALL COLLEGE; NOT INV RELATED;LANCASTER,PA; BOARD OF TRUSTEES INVESTMENT COMMITTEE; INVESTMENT COMMITTEE MEMBER; START DATE: 7/1/2026; 1 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2000-04-04
S65	Uniform Investment Adviser Law Examination	2000-03-30

S63 Uniform Securities Agent State Law Examination

2000-04-04
S65 Uniform Investment Adviser Law Examination

2000-03-30