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Richard E Rivera

Charles Schwab & Co., Inc.

Boston, MA

West Hartford, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-01-11
RI RA APPROVED 2013-09-09
  • TX RA
    APPROVED_RES
    Since 2022-01-11
  • RI RA
    APPROVED
    Since 2013-09-09

Branch Locations

127 Congress Street Floor 01, Boston, MA 02110-2511 • United States

11 South Main Street, West Hartford, CT 06107 • 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
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Boston MA 06/1999 Present
Charles Schwab Bank Boston MA 02/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-06
S65 Uniform Investment Adviser Law Examination 1996-05-03
S63 Uniform Securities Agent State Law Examination 1996-04-24
  • S66 Uniform Combined State Law Examination
    2009-11-06
  • S65 Uniform Investment Adviser Law Examination
    1996-05-03
  • S63 Uniform Securities Agent State Law Examination
    1996-04-24
Other Names
  • Richard Edward Rivera
  • Richard Edward Rivera
  • Richard Edward Rivera
  • Richard Edward Rivera

View on SEC IAPD

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Other Offices

COHERE CAPITAL · BOSTON, MA
BAYPINE HOLDINGS LP · BOSTON, MA
GUIDEPOST GROWTH EQUITY MANAGEMENT COMPANY, L.P. · BOSTON, MA
LONGWOOD MANAGEMENT LLC · BOSTON, MA
ADVENT INTERNATIONAL, L.P. · BOSTON, MA
NEW HERITAGE CAPITAL, LLC · BOSTON, MA
WUXI HEALTHCARE VENTURES MANAGEMENT US LLC · BOSTON, MA
NEWPATH MANAGEMENT, L.P. · BOSTON, MA

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