Haley Rives

Current Employers

Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-06-25
WI	RA	APPROVED	2025-12-22

TX RA
APPROVED

Since 2026-06-25
WI RA
APPROVED

Since 2025-12-22

Branch Locations

2659 Townsgate Rd. Suite 240, Westlake Village, CA 91361 • United States

Appleton, WI • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Northwestern Mutual Life Insurance Company	Milwaukee	WI	08/2018	03/2019
Zipie	Lexington	KY	08/2016	08/2017
Unemployed	Sydney		08/2017	04/2018
Student	Lexington	KY	08/2013	08/2017
Ristorante Bartolotta	Wauwatosa	WI	07/2018	11/2018
Brookfield Academy	Brookfield	WI	07/2018	03/2020
Northwestern Mutual Investment Services Llc	Waukesha	WI	03/2019	08/2025
Milwaukee Sting Volleyball Club	Menomonee Falls	WI	03/2020	11/2021
Northwestern Mutual Life Insurance Company	Milwaukee	WI	06/2019	01/2024
Sam Arthur	Atlanta	GA	01/2024	08/2025
Mackey Schneider	Atlanta	GA	05/2024	08/2025
Cappuccino Financial	Westlake	CA	10/2025	Present
University Of Kentucky	Lexington	KY	08/2013	08/2017
Raymond James Financial Services, Inc.	Milwaukee	WI	10/2025	Present
Haven Wealth Advisors	Atlanta	GA	10/2023	08/2025
Raymond James Financial Services Advisors, Inc	Milwaukee	WI	12/2025	Present

08/2018 → 03/2019

Northwestern Mutual Life Insurance Company

Milwaukee, WI
08/2016 → 08/2017

Zipie

Lexington, KY
08/2017 → 04/2018

Unemployed

Sydney
08/2013 → 08/2017

Student

Lexington, KY
07/2018 → 11/2018

Ristorante Bartolotta

Wauwatosa, WI
07/2018 → 03/2020

Brookfield Academy

Brookfield, WI
03/2019 → 08/2025

Northwestern Mutual Investment Services Llc

Waukesha, WI
03/2020 → 11/2021

Milwaukee Sting Volleyball Club

Menomonee Falls, WI
06/2019 → 01/2024

Northwestern Mutual Life Insurance Company

Milwaukee, WI
01/2024 → 08/2025

Sam Arthur

Atlanta, GA
05/2024 → 08/2025

Mackey Schneider

Atlanta, GA
10/2025 → Present

Cappuccino Financial

Westlake, CA
08/2013 → 08/2017

University Of Kentucky

Lexington, KY
10/2025 → Present

Raymond James Financial Services, Inc.

Milwaukee, WI
10/2023 → 08/2025

Haven Wealth Advisors

Atlanta, GA
12/2025 → Present

Raymond James Financial Services Advisors, Inc

Milwaukee, WI

Other Businesses

(1)Name of Business: Cappuccino Financial Address: 1641 N Franklin Pl Apt 1 , Milwaukee, WI, 53202, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 03/25/2026 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 2-10 Description of duties: Financial Advisor (2)Name of Business: Rives Real Estate Address: 1641 N Franklin Pl Apt 1, Milwaukee, WI, 53202, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 10/01/2021 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I manage and maintain 2 duplexes. I'll rent them out and hire contractors for maintenance reasons as needed.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-12-17
S63	Uniform Securities Agent State Law Examination	2020-03-09

S65 Uniform Investment Adviser Law Examination

2025-12-17
S63 Uniform Securities Agent State Law Examination

2020-03-09

Other Names

Haley Rives
Haley Morgan Rives

View on SEC IAPD