Ricky Nmn Rivera

Current Employers

Safeguard Investment Advisory Group, Llc

4160 Temescal Canyon Road Suite 307, Corona, CA 92883 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2026-01-14

CA RA
APPROVED

Since 2026-01-14

Branch Locations

4160 Temescal Canyon Road Suite 307, Corona, CA 92883 • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Rickshaw Financial & Insurance Services, Inc.	Corona	CA	12/1997	Present
Safeguard Investment Advisory Group, Llc	Corona	CA	03/2008	Present

12/1997 → Present

Rickshaw Financial & Insurance Services, Inc.

Corona, CA
03/2008 → Present

Safeguard Investment Advisory Group, Llc

Corona, CA

Previous Registrations

2008-02-21 → 2010-12-31

Safeguard Investment Advisory Group, Llc

Corona, CA

Other Businesses

HE OFFERS INSURANCE PRODUCTS TO CLIENTS THROUGH CALIFORNIA LIFE LICENSE# 0B51891 THROUGH RICKSHAW FINANCIAL & INSURANCE SERVICES, INC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-01-14

S65 Uniform Investment Adviser Law Examination

2008-01-14

Other Names

Ricky Rivera

View on SEC IAPD