AdvisorOS Directory
Claim Profile
Unclaimed Profile
RR

Richard Thomas Rivera

DICK RIVERA & ASSOCIATES, LLC·PENSACOLA BEACH, Florida
SIE, Series 7, Series 24, Series 63, Series 65CFP34 years registeredDICK RIVERA & ASSOCIATES, LLC
5 PORTOFINO DR., PENSACOLA BEACH, FL 32561CRD# 1397820Firm CRD# 114409

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Richard Thomas Rivera · PENSACOLA BEACH, FL
Registration
CRD #1397820 · DICK RIVERA & ASSOCIATES, LLC · 34 years registered
Brand Profile
Not yet started
01

Career History

UNITED CAPITAL FINANCIAL ADVISORS
Dec 2025 – present
DICK RIVERA & ASSOCIATES
Mar 2016 – Mar 2026
PENSACOLA BEACH, FL
SWS FINANCIAL SERVICES
Nov 1991 – Jan 2005
DALLAS, TX
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 24
Series 63
Series 65
Registration record
First registered · November 15, 1991
Years registered · 34
Professional designation · CFP
03

Disclosure History

2024Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

04

Firm Overview

Firm
DICK RIVERA & ASSOCIATES, LLC
CRD 114409 · SEC 801-112979
AUM
$144M
Regulatory assets under management
Employees
2
275 client accounts
Services offered by DICK RIVERA & ASSOCIATES, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at DICK RIVERA & ASSOCIATES, LLC →
Introduction

Speak with Richard

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Richard is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in PENSACOLA BEACH?

Browse all registered financial advisors in PENSACOLA BEACH, Florida or claim this profile if it's yours.

Browse PENSACOLA BEACH AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Richard Thomas Rivera offer?
Richard Thomas Rivera specializes in Financial Planning, Investment Management. Contact their office in PENSACOLA BEACH, Florida for a consultation.
What are Richard Thomas Rivera's credentials?
Richard Thomas Rivera holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.
Where is Richard Thomas Rivera located?
Richard Thomas Rivera is based in PENSACOLA BEACH, Florida, working with DICK RIVERA & ASSOCIATES, LLC. Their office serves clients in the PENSACOLA BEACH metropolitan area and surrounding communities.
How does Richard Thomas Rivera charge for services?
Richard Thomas Rivera's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is DICK RIVERA & ASSOCIATES, LLC?
DICK RIVERA & ASSOCIATES, LLC has approximately 2 employees and manages $144M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Florida
MIAMI (466)TAMPA (204)BOCA RATON (175)CORAL GABLES (130)NAPLES (126)SARASOTA (106)PALM BEACH GARDENS (98)ORLANDO (97)FORT LAUDERDALE (95)JACKSONVILLE (95)
City Guides
MIAMI GuideTAMPA GuideBOCA RATON GuideCORAL GABLES GuideNAPLES Guide
Research
Advisor Fees in FloridaNational Fee Analysis
Request removal of this profile