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Carlos Rivas
22 Years of Experience
Creve Coeur, MO
2 DisclosuresBroker
Carlos Rivas is a registered investment advisor at Cetera Investment Advisers LLC, based in Creve Coeur, MO, with 22 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
12470 Olive Blvd, Creve Coeur, MO, 63141
Get directionsHistory
Regulatory History (2)
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Customer Dispute
June 2016Settled
Employment Separation After Allegations
February 2013Other Business Activities
Carlos is a landlord involved in investment real estate, maintenance, and rent collection, dedicating minimal time. He also works as an umpire official for the Missouri Umpire Association, spending a few hours per week.
Employment History
Current Registrations
Cetera Investment Advisers LLC
January 2014 - Present · 12 yrs 4 mos
Cetera Investment Services LLCBroker
May 2013 - Present · 13 yrs
Previous Registrations
Cetera Investment Services LLC
May 2013 - January 2014 · 8 mos
PNC InvestmentsBroker
January 2012 - February 2013 · 1 yr 1 mo
PNC Investments
January 2012 - February 2013 · 1 yr 1 mo
Wells Fargo Advisors, LLC
February 2011 - December 2011 · 10 mos
Wells Fargo Advisors, LLCBroker
September 2008 - December 2011 · 3 yrs 3 mos
Oneamerica Securities, INC.Broker
July 2007 - April 2008 · 9 mos
Natcity Investments, INC.Broker
August 2005 - June 2006 · 10 mos
A. G. Edwards & Sons, INC.Broker
October 2003 - May 2005 · 1 yr 7 mos
Oneamerica Securities, INC.Broker
July 2003 - October 2003 · 3 mos
Park Avenue Securities LLCBroker
December 2002 - July 2003 · 7 mos
Metropolitan Life Insurance CompanyBroker
August 2001 - October 2002 · 1 yr 2 mos
Metlife Securities INC.Broker
August 2001 - October 2002 · 1 yr 2 mos
State Registrations6 states
FLIAILINMOOR
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.