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Carlos F Rivera Alvarez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chino, 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
TX RA APPROVED_RES 2023-05-15
CA RA APPROVED 2023-04-06
  • TX RA
    APPROVED_RES
    Since 2023-05-15
  • CA RA
    APPROVED
    Since 2023-04-06

Branch Locations

12747 Central Ave, Chino, CA 91710 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chino CA 02/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-04
  • S66 Uniform Combined State Law Examination
    2023-04-04
Other Names
  • Carlos Rivera
  • Carlos F Riveraalvarez

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · CHINO, CA
AUSDAL FINANCIAL PARTNERS, INC. · CHINO, CA
DAVID DE KOEKKOEK, CFP, EA · CHINO, CA
EDWARD JONES · CHINO, CA
AEONIAN CAPITAL, LLC · CHINO, CA
ALLSTATE FINANCIAL ADVISORS, LLC · Chino, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Ontario, CA
DAVID DE KOEKKOEK, CFP, EA · ONTARIO, CA

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