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Andrea Rivera

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Westlake Village, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-05-03
TX RA APPROVED 2017-05-03
  • CA RA
    APPROVED
    Since 2017-05-03
  • TX RA
    APPROVED
    Since 2017-05-03

Branch Locations

2815 Townsgate Rd, Westlake Village, CA 91361 • 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
Various Insurance Carriers For W&R Insurance Agencies Torrance CA 06/2015 04/2017
Waddell & Reed Inc Torrance CA 08/2016 04/2017
Dennis Ortiz-Luis Torrance CA 08/2016 04/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stevenson Ranch CA 04/2017 Present
Bank Of America, N.A. Stevenson Ranch CA 04/2017 Present
  • 06/2015 → 04/2017
    Various Insurance Carriers For W&R Insurance Agencies
    Torrance, CA
  • 08/2016 → 04/2017
    Waddell & Reed Inc
    Torrance, CA
  • 08/2016 → 04/2017
    Dennis Ortiz-Luis
    Torrance, CA
  • 04/2017 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Stevenson Ranch, CA
  • 04/2017 → Present
    Bank Of America, N.A.
    Stevenson Ranch, CA
Previous Registrations
  • 2015-06-22 → 2017-04-21
    Waddell & Reed
    Las Vegas, NV
    Torrance, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-06-22
  • S66 Uniform Combined State Law Examination
    2015-06-22

View on SEC IAPD

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Other Offices

MANCHESTER FINANCIAL INC · WESTLAKE VILLAGE, CA
EAGLE STRATEGIES LLC · WESTLAKE VILLAGE, CA
RKS MANAGEMENT, INC. · WESTLAKE VILLAGE, CA
MERCER GLOBAL ADVISORS INC. · Westlake Village, CA
LPL FINANCIAL LLC · WESTLAKE VILLAGE, CA
MML INVESTORS SERVICES, LLC · WESTLAKE VILLAGE, CA
EDWARD JONES · Westlake Village, CA
CARMANDALIAN FINANCIAL GROUP, LLC · WESTLAKE VILLAGE, CA

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