Richard Riva is a registered investment advisor, based in Newport Beach, CA, with 32 years of industry experience.
Location
1400 Newport Center Drive, Suite 290, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
January 2017Denied
Other Business Activities
Richard is an Investment Advisor Representative for Wealth Management Solutions, LLC and Balboa Wealth Partners, Inc., dedicating full-time hours to the latter. He also serves as an Executive Officer in the California Military Reserve and a Volunteer Deputy Sheriff for the Orange County Sheriff's Department, dedicating a significant amount of time to these roles.
Employment History
Current Registrations
Willow Cove Investment Group, INC.
June 2024 - Present · 1 yr 11 mos
Willow Cove Investment Group, INC.Broker
June 2024 - Present · 1 yr 11 mos
Balboa Wealth Partners, INC.
May 2024 - Present · 2 yrs
Previous Registrations
Balanced Security Planning, INC.Broker
July 2023 - August 2023 · 1 mo
Wealth Management Solutions, LLC
May 2021 - May 2024 · 3 yrs
LPL Financial LLC
March 2018 - July 2018 · 4 mos
Financial Advocates Investment Management
November 2017 - July 2021 · 3 yrs 8 mos
LPL Financial LLC
October 2003 - March 2018 · 14 yrs 5 mos
LPL Financial LLCBroker
October 2003 - August 2023 · 19 yrs 10 mos
Wells Fargo Investments, LLC
May 2001 - October 2003 · 2 yrs 5 mos
Wells Fargo Investments, LLCBroker
May 2001 - October 2003 · 2 yrs 5 mos
Wells Fargo Securities INC.Broker
November 1993 - May 2001 · 7 yrs 6 mos
Marketing One Securities, INC.Broker
August 1993 - November 1993 · 3 mos
State Registrations3 states
CANVTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.