Ruben Rivera

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 05/2017
  Jp Morgan Chase Bank
  Culver City, CA
• 06/2016 → 05/2017
  Jp Morgan Securities, Llc
  Culver City, CA
• 05/2017 → 06/2022
  Missionsquare Retirement
  Washington, DC
• 06/2022 → 08/2023
  American United Life
  Newport Beach, CA
• 06/2022 → 08/2023
  Oneamerica Securities
  Newport Beach, CA
• 05/2017 → 06/2022
  Missionsquare Investment Services
  Culver City, CA
• 08/2023 → 05/2024
  Voya Financial Advisors
  Culver City, CA
• 08/2024 → Present
  Principal Securities
  Des Moines, IA
• 06/2024 → Present
  Principal Life Insurance
  Culver City, CA

Previous Registrations

• 2023-08-28 → 2024-05-31
  Voya Financial Advisors, Inc.
  Culver City, CA
  Culver City, CA
  Simi Valley, CA
• 2022-06-29 → 2023-09-17
  Oneamerica Securities, Inc.
  Newport Beach, CA
  Indianapolis, IN
• 2017-06-01 → 2022-06-16
  Missionsquare Retirement
  Culver City, CA
  Washington, DC
• 2016-07-05 → 2017-05-18
  J.P. Morgan Securities Llc
  Culver City, CA
• 2015-01-22 → 2015-04-23
  Ameriprise Financial Services, Llc
  Los Angeles, CA
• 2014-08-19 → 2015-01-13
  Cuso Financial Services, L.P.
  Hawthorne, CA

Exams

• S66 Uniform Combined State Law Examination
  2014-07-16

Other Names

• Ruben Rivera
• Ruben Rivera
• Ruben Rivera