Cynthia Diane Rivas

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

• 01/2012 → 04/2019
  Principal Life Ins Co
  El Paso, TX
• 01/2012 → 04/2019
  Princor Financial Services Corp
  El Paso, TX
• 02/2012 → Present
  Graham Capital Strategies Lcc
  El Paso, TX
• 04/2019 → Present
  Lpl Financial, Llc
  El Paso, TX

Previous Registrations

• 2012-02-14 → 2019-05-02
  Principal Securities, Inc.
  El Paso, TX
• 1999-03-03 → 2010-08-24
  Securian Financial Services, Inc.
  El Paso, TX
  El Paso, TX

Other Businesses

1. 4/24/2019 - GRAHAM CAPITAL STRATEGIES LLC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 4/24/2019 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Life, DI, LTC, Group benefits. 3. 11/16/2023 - Pivot Wealth Management, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/31/2023 - 200 Hours Per Month/ 20 Hours During Trading 4. 04/03/2024 - VIBE - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/08/2024 - 5 Hours Per Month/ 0 Hours During Trading 5. 12/19/2025-CR Capital Management-Owner-Business Entity For Tax/Investment Purposes Only-Inv Related-At El Paso, TX-Start date 01/01/2026-90hrs/mth-10hrs/mth during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-04-21
• S63 Uniform Securities Agent State Law Examination
  1999-02-23

Other Names

• Cynthia Diane Rivas