Michael Andrew Rivera

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-02-28

TX RA
APPROVED

Since 2023-02-28

Branch Locations

13201 N.W. Fwy. Suite 265, Houston, TX 77040 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

13201 N.W. Fwy. Suite 265, Houston, TX 77040 • 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

Organization	City	State	From	To
Self Employed	Houston	TX	02/1976	Present
Northwest General Insurance	Houston	TX	01/1985	Present
Fsc Securities Corporation	Houston	TX	02/2009	01/2023
Lpl Financial	Houston	TX	02/2023	Present

02/1976 → Present

Self Employed

Houston, TX
01/1985 → Present

Northwest General Insurance

Houston, TX
02/2009 → 01/2023

Fsc Securities Corporation

Houston, TX
02/2023 → Present

Lpl Financial

Houston, TX

Previous Registrations

2017-04-11 → 2023-03-02

Fsc Securities Corporation

Houston, TX

Other Businesses

1- 02/2023 / Northwest General / DBA for LPL Business (entity for LPL business) / INVESTMENT RELATED / HOUSTON, TX 2- 01/1985 / Northwest General / Insurance Agency / INVESTMENT RELATED / HOUSTON, TX 3- 01/1997 / Michael A Rivera / Real Estate Rental / INVESTMENT RELATED / 13201 Northwest Fwy, Suite 265, Houston, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-07
S63	Uniform Securities Agent State Law Examination	1983-10-28

S65 Uniform Investment Adviser Law Examination

2017-04-07
S63 Uniform Securities Agent State Law Examination

1983-10-28

Designations

Other Names

Mike Rivera

View on SEC IAPD