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Joanny Carmen Rivera

Wells Fargo Clearing Services, LLC

Corte Madera, CA

San Rafael, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-23
  • CA RA
    APPROVED
    Since 2025-01-23

Branch Locations

770 Tamalpais Dr Ste 220 [Nn-Rbo], Corte Madera, CA 94925 • United States

1203 4Th St, San Rafael, CA 94901 • 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
U.S.BAnk San Rafael CA 03/2020 05/2024
U.S. Bancorp Investments, Inc. San Rafael CA 02/2022 05/2024
Palm Springs International Film Festival Palm Springs CA 11/2016 01/2017
Napa Valley Film Festival Napa CA 09/2019 11/2019
California Film Institute San Rafael CA 10/2016 11/2019
Cinema West Petaluma CA 11/2017 01/2020
Joanny C Rivera Sole Proprietor San Anselmo CA 04/2016 02/2023
Wells Fargo Clearing Services, Llc San Rafael CA 05/2024 Present
Wells Fargo Bank, Na San Rafael CA 05/2024 Present
  • 03/2020 → 05/2024
    U.S.BAnk
    San Rafael, CA
  • 02/2022 → 05/2024
    U.S. Bancorp Investments, Inc.
    San Rafael, CA
  • 11/2016 → 01/2017
    Palm Springs International Film Festival
    Palm Springs, CA
  • 09/2019 → 11/2019
    Napa Valley Film Festival
    Napa, CA
  • 10/2016 → 11/2019
    California Film Institute
    San Rafael, CA
  • 11/2017 → 01/2020
    Cinema West
    Petaluma, CA
  • 04/2016 → 02/2023
    Joanny C Rivera Sole Proprietor
    San Anselmo, CA
  • 05/2024 → Present
    Wells Fargo Clearing Services, Llc
    San Rafael, CA
  • 05/2024 → Present
    Wells Fargo Bank, Na
    San Rafael, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-01-23
S63 Uniform Securities Agent State Law Examination 2023-03-30
  • S66 Uniform Combined State Law Examination
    2025-01-23
  • S63 Uniform Securities Agent State Law Examination
    2023-03-30
Other Names
  • Joanny Carmen Rosario
  • Joanny Carmen Rivera
  • Joanny Rivera

View on SEC IAPD

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HENRIK INGEMANN NIELSEN
KONSTANTINOS GRIGORAKIS
Jason Yaworski
FATIMA ROMO
BRIAN KYLE GALLAGHER
ROSS GOMPERTZ
JAMES KEYES WATTS

Other Offices

COHEN CAPITAL MANAGEMENT INC · CORTE MADERA, CA
AVILA REAL ESTATE CAPITAL · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
WELLS FARGO CLEARING SERVICES, LLC · CORTE MADERA, CA
J.P. MORGAN SECURITIES LLC · CORTE MADERA, CA
PATHBREAKER VENTURES II, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES III, LLC · CORTE MADERA, CA
PATHBREAKER VENTURES, LLC · CORTE MADERA, CA

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