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Michael Alexander Rivera

Principal Securities, Inc.

Mt Pleasant, SC

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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-08-17
  • SC RA
    APPROVED
    Since 2023-08-17

Branch Locations

1501 Belle Isle Ave Ste 240, Mt Pleasant, SC 29464 • 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
Pruco Securities, Llc Mt. Pleasant SC 04/2018 07/2019
Christian Community Thrift Orangeburg SC 07/2016 08/2017
Applewood Benefits Specialist Columbia SC 05/2017 10/2017
Christian Community Thrift Orangeburg SC 10/2017 09/2018
Principal Life Insurance Company Orangeburg SC 07/2019 12/2022
Principal Securities Inc Orangeburg SC 07/2019 03/2023
The Prudential Insurance Company Of America Honolulu HI 06/2023 07/2023
Pruco Securities Llc Honolulu HI 06/2023 07/2023
Principal Life Insurance Mount Pleasant SC 07/2023 Present
Principal Securities Des Moines IA 08/2023 Present
Trinity Wealth Partners Mount Pleasant SC 11/2023 Present
  • 04/2018 → 07/2019
    Pruco Securities, Llc
    Mt. Pleasant, SC
  • 07/2016 → 08/2017
    Christian Community Thrift
    Orangeburg, SC
  • 05/2017 → 10/2017
    Applewood Benefits Specialist
    Columbia, SC
  • 10/2017 → 09/2018
    Christian Community Thrift
    Orangeburg, SC
  • 07/2019 → 12/2022
    Principal Life Insurance Company
    Orangeburg, SC
  • 07/2019 → 03/2023
    Principal Securities Inc
    Orangeburg, SC
  • 06/2023 → 07/2023
    The Prudential Insurance Company Of America
    Honolulu, HI
  • 06/2023 → 07/2023
    Pruco Securities Llc
    Honolulu, HI
  • 07/2023 → Present
    Principal Life Insurance
    Mount Pleasant, SC
  • 08/2023 → Present
    Principal Securities
    Des Moines, IA
  • 11/2023 → Present
    Trinity Wealth Partners
    Mount Pleasant, SC
Previous Registrations
Other Businesses

Fixed Annuities, LTC, Life, Group Benefits, Health Insurance, DI Start date: 07/16/2019

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-05
S63 Uniform Securities Agent State Law Examination 2018-05-08
  • S66 Uniform Combined State Law Examination
    2021-02-05
  • S63 Uniform Securities Agent State Law Examination
    2018-05-08
Other Names
  • Michael Alexander Rivera
  • Michael Rivera

View on SEC IAPD

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Other Offices

EDWARD JONES · MT PLEASANT, SC
WELLS FARGO CLEARING SERVICES, LLC · MOUNT PLEASANT, SC
FLOWRATE FINANCIAL, LLC · MOUNT PLEASANT, SC
EQUITABLE ADVISORS, LLC · MOUNT PLEASANT, SC
MML INVESTORS SERVICES, LLC · MOUNT PLEASANT, SC
LPL FINANCIAL LLC · MOUNT PLEASANT, SC
ASCENSION WEALTH ADVISORS, LLC · MT. PLEASANT, SC
AMERIPRISE FINANCIAL SERVICES, LLC · MT. PLEASANT, SC

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