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Rene Charlie Rivas

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Orland Park, IL

Chicago, IL

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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 2017-03-03
IL RA APPROVED 2017-02-27
  • TX RA
    APPROVED
    Since 2017-03-03
  • IL RA
    APPROVED
    Since 2017-02-27

Branch Locations

15255 S 94Th Ave, Orland Park, IL 60462 • United States

110 N Wacker Dr, Chicago, IL 60606 • 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 Joliet IL 12/2016 Present
Dollar Tree Joliet IL 07/2012 12/2016
Bank Of America, N.A. Joliet IL 03/2022 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-24
  • S66 Uniform Combined State Law Examination
    2017-02-24
Other Names
  • Rene Rivas

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Orland Park, IL
OSAIC WEALTH, INC. · Orland Park, IL
CETERA INVESTMENT ADVISERS LLC · ORLAND PARK, IL
W&S BROKERAGE SERVICES, INC. · ORLAND PARK, IL
WAVE & BREAKOUT L.L.C. · ORLAND PARK, IL
HIGHPOINT PLANNING PARTNERS · ORLAND PARK, IL
WELLS FARGO CLEARING SERVICES, LLC · ORLAND PARK, IL
AMERIPRISE FINANCIAL SERVICES, LLC · ORLAND PARK, IL

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