DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Ruben Rivera

Principal Securities, Inc.BD affiliatedDes Moines, Ia dual registrantIAPD 5650527

Feed of 09/15/2026

Also filed as Ruben Rivera

At current firm

2 y

since Aug 27, 2024

In the industry

12 y

since Jul 16, 2014 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Principal Securities, Inc. BD affiliated current
since Aug 27, 2024 · Baldwin Park, Ca
Voya Financial Advisors, Inc. BD affiliated
Aug 28, 2023 to May 31, 2024 · Culver City, Ca
Oneamerica Securities, Inc. BD affiliated
Jun 29, 2022 to Sep 17, 2023 · Newport Beach, Ca
Missionsquare Retirement BD affiliated
Jun 1, 2017 to Jun 16, 2022 · Culver City, Ca
J.P. Morgan Securities LLC wirehouse
Jul 5, 2016 to May 18, 2017 · Culver City, Ca
Ameriprise Financial Services, LLC national BD
Jan 22, 2015 to Apr 23, 2015 · Los Angeles, Ca
Cuso Financial Services, L.P. former
Aug 19, 2014 to Jan 13, 2015 · Hawthorne, Ca

Moves

a registration end followed by a registration begin elsewhere

Voya Financial Advisors, Inc. to Principal Securities, Inc.
left May 31, 2024, registered Aug 27, 2024 (88 days) · Affiliated broker-dealer or bank to another
Oneamerica Securities, Inc. to Voya Financial Advisors, Inc.
left Sep 17, 2023, registered Aug 28, 2023 (-20 days) · Affiliated broker-dealer or bank to another
Missionsquare Retirement to Oneamerica Securities, Inc.
left Jun 16, 2022, registered Jun 29, 2022 (13 days) · Other
J.P. Morgan Securities LLC to Missionsquare Retirement
left May 18, 2017, registered Jun 1, 2017 (14 days) · Other
Ameriprise Financial Services, LLC to J.P. Morgan Securities LLC
left Apr 23, 2015, registered Jul 5, 2016 (439 days) · Affiliated broker-dealer or bank to wirehouse
Cuso Financial Services, L.P. to Ameriprise Financial Services, LLC
left Jan 13, 2015, registered Jan 22, 2015 (9 days) · Other

Signals

Ruben Rivera left Voya Financial Advisors, Inc. for Principal Securities, Inc. (registered 2024-08-27)
May 31, 2024 · Advisor changed firm · fact
Ruben Rivera left Oneamerica Securities, Inc. for Voya Financial Advisors, Inc. (registered 2023-08-28)
Sep 17, 2023 · Advisor changed firm · fact
Ruben Rivera left Missionsquare Retirement for Oneamerica Securities, Inc. (registered 2022-06-29)
Jun 16, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address