Timothy James Rivera

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 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

• 01/2016 → 10/2017
  Raymond James Financial Services, Inc.
  Santa Fe, NM
• 08/2016 → 10/2017
  Raymond James Financial Services Advisors Inc.
  Santa Fe, NM
• 10/2017 → 03/2018
  Bank Of The West
  Albuquerque, NM
• 03/2018 → 09/2019
  Raymond James Financial Services, Inc.
  Santa Fe, NM
• 03/2018 → 09/2019
  Raymond James Financial Services Advisors Inc.
  Santa Fe, NM
• 03/2018 → 09/2019
  Summit Investment Group
  Santa Fe, NM
• 11/2019 → 06/2024
  Securities America, Inc.
  Albuquerque, NM
• 11/2019 → 06/2024
  Securities America Advisors
  Albuquerque, NM
• 06/2024 → Present
  Osaic Wealth, Inc.
  Albuquerque, NM

Previous Registrations

• 2019-12-02 → 2024-06-14
  Securities America Advisors, Inc.
  Santa Fe, NM
  Santa Fe, NM
  Santa Fe, NM
  Albuquerque, NM
• 2018-03-02 → 2019-09-25
  Raymond James Financial Services Advisors, Inc
  Santa Fe, NM
• 2016-08-31 → 2017-10-16
  Raymond James Financial Services Advisors, Inc
  Santa Fe, NM

Other Businesses

1. RENTAL PROPERTY POSITION: Landlord NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2021 ADDRESS: 7901 Marigold Dr NW, Albuquerque NM 87120 DESCRIPTION: Landlord-Casita (pool house) on personal property utilized as rental income 2. GRAYSTONE FINANCIAL, LLC POSITION: Investment Advisor NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2023 ADDRESS: 7901 Marigold Dr NW, Albuquerque NM 87120, United States DESCRIPTION: Provide Advisory Services through Osaic Wealth Inc 3. DBA - Graystone Financial, LLC 4. NMAA FOUNDATION POSITION: Board of Director NATURE: The NMAA Foundation is a 503(c)3 non-profit organization that was set up in 2007 to support the many students that participate in high school athletic and activity programs across New Mexico. The funds raised by the Foundation are used for student scholarships, school grants/support, and other initiatives as determined by the Board of Directors. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 07/24/2024 ADDRESS: 6600 Palomas NE, Albuquerque NM 87109, United States DESCRIPTION: The Board of directors shall have control and management of the business and affairs of the corporation. The directors shall in all cases act as a Board, regularly convened, for the transaction of business. The directors may adopt such rules and regulations for the conduct of their meetings and management of the corporation as they may deem proper, not inconsistent with law or NMAA Foundation Bylaws.

Exams

• S66 Uniform Combined State Law Examination
  2016-08-29
• S63 Uniform Securities Agent State Law Examination
  2006-02-14

Other Names

• Tj Rivera
• Timothy J Rivera