Brandon RiveraCRD Number: 5919149
Current Firm: Regal Investment Advisors LLC
Brandon Rivera (CRD# 5919149) is an Investment Advisor Representative working at Regal Investment Advisors LLC in Downey, CA and has over 5 years of experience in the finance industry.
Jst Investment Consulting
Fried Asset Management, Inc.
|Regal Investment Advisors LLC||Kentwood, MI||Jan 2015 - Current||3|
|Regulus Advisors||Kentwood, MI||Feb 2014 - Current||4|
|Bright Owl Investment Advisors||Kentwood, MI||Jan 2014 - Dec 2014||< 1|
|Centaurus Financial Inc.||Anaheim, CA||Apr 2012 - Dec 2013||1|
|Psp Financial Group, Inc.||Downey, CA||Apr 2003 - Jan 2012||8|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jun 2012|
|S65||NASAA Investment Advisors Law Examination||Jun 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,109MILLIONS
Total Number of Accounts8,189ACCOUNTS
Average Account Value$135,392
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, IL, IN, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, ND, NE, NJ, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV
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