Ruben Rivera
Investment adviser representative at Principal Securities, Inc.
10 yearsExperience
1 stateRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Principal Securities, Inc.Aug 2024 to now
- Principal Life InsuranceJun 2024 to now
- Voya Financial AdvisorsAug 2023 to May 2024
- American United LifeJun 2022 to Aug 2023
- Oneamerica SecuritiesJun 2022 to Aug 2023
- Missionsquare Investment ServicesMay 2017 to Jun 2022
- Missionsquare RetirementMay 2017 to Jun 2022
- JP Morgan Chase BankJun 2016 to May 2017
- JP Morgan Securities, LLCJun 2016 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2014
State registrations
Registered as an investment adviser representative in 1 state (CA).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5650527
- Firm CRD
- 1137