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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

Robert Luis Rivera

Advisor at KCD FINANCIAL, INC.

Green Bay, WI | GREEN BAY, WI

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Search this name across graphsid dfx:ria:260fe7b8-c79c-1267-48b5-3fee0e462e45

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 1, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: KCD FINANCIAL, INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 31, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Aug 31, 2000
First registration: May 1, 2007
Dual registered: yes, broker-dealer
Other names: BOB ^ RIVERA
IAPD individual key: 4136487

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
KCD FINANCIAL, INC.	Independent wealth	Feb 14, 2019	n/a	yes	GREEN BAY, WI\|GREEN BAY, WI\|Green Bay, WI	Current employment
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Oct 24, 2018	Feb 25, 2019	no	GREEN BAY, WI	Previous registration
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	May 15, 2008	Aug 24, 2009	no	NEENAH, WI	Previous registration
THRIVENT INVESTMENT MANAGEMENT INC.	Bd affiliated wealth	May 1, 2007	Dec 31, 2007	no	APPLETON, WI\|GREEN BAY, WI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA ADVISOR NETWORKS LLC	KCD FINANCIAL, INC.	Feb 25, 2019	Feb 14, 2019	-11	Firm change	Ibd to RIA
PRINCIPAL SECURITIES, INC.	CETERA ADVISOR NETWORKS LLC	Aug 24, 2009	Oct 24, 2018	3,348	Firm change after gap	Other
THRIVENT INVESTMENT MANAGEMENT INC.	PRINCIPAL SECURITIES, INC.	Dec 31, 2007	May 15, 2008	136	Firm change	Other

Relationships

Registered with (4)

→ KCD FINANCIAL, INC.Registered adviserregistration: current employment
Feb 14, 2019 to presentfactForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Oct 24, 2018 to Feb 25, 2019factForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
May 15, 2008 to Aug 24, 2009factForm ADV
→ THRIVENT INVESTMENT MANAGEMENT INC.Registered adviserregistration: previous registration
May 1, 2007 to Dec 31, 2007factForm ADV

Dated events

No dated event names this entity yet.