Louis Rivera is a registered investment advisor, based in Wayne, PA, with 18 years of industry experience.
Location
37 West Avenue, Suite 301, Wayne, PA, 19087-3226
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Louis is an independent insurance salesman for health, life, disability, and annuity products. He also owns rental property, dedicating minimal time to it each month.
Employment History
Current Registrations
J. Alden Associates, INC.
August 2024 - Present · 1 yr 9 mos
Alden Investment Group
August 2024 - Present · 1 yr 9 mos
J. Alden Associates, INC.Broker
August 2024 - Present · 1 yr 9 mos
Previous Registrations
Cadaret Grant & CO INC
May 2021 - August 2024 · 3 yrs 3 mos
Cadaret, Grant & CO., INC.Broker
September 2015 - August 2024 · 8 yrs 11 mos
LPL Financial LLCBroker
November 2014 - September 2015 · 10 mos
Cadaret, Grant & CO., INC.Broker
September 2011 - November 2014 · 3 yrs 2 mos
Signator Investors, INC.Broker
February 2008 - September 2011 · 3 yrs 7 mos
State Registrations5 states
FLLANYOHVA
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.