Sergio Rivera Vazquez has been an investment adviser representative at Veraz Advisors since January 2026, and is not listed among the firm’s executive officers or direct owners.
Veraz Advisors, LLC is a San Ramon, CA firm with $110M under management, 150 clients and 3 advisers across 2 offices, as of its June 2026 filing.
Sergio Rivera Vazquez is Wealth Strategist of Veraz Advisors. He is the Lead Advisor in the firm's San Jose office and has over 35 years of experience in trading, wealth management and private banking across Europe, Latin America and the United States. He works with technology executives and business leaders in Silicon Valley, focusing on concentrated stock positions and tax strategies for retirement income.
Sergio Rivera Vazquez’s longest registration was 1 year at Morgan Stanley (2022–2024). Before joining Veraz Advisors in 2026, Sergio Rivera Vazquez was registered through Brookwood Investment Group and Edward Jones.
- Veraz AdvisorsCurrent– present · under a yearSan Ramon, CA · Adviser representative · Firm CRD 304619
- Brookwood Investment Group– · under a yearSan Jose, CA · Adviser representative · Firm CRD 316544
- Edward Jones– · 1 yearSunnyvale, CA · Adviser representative · Firm CRD 250
- Morgan Stanley– · 1 yearSan Francisco, CA · Adviser representative · Firm CRD 149777
Investment adviser representative registrations
Sergio Rivera Vazquez is registered as an investment adviser representative in California, since January 2026.
- CaliforniaSince 25 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 20 November 2023 |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 15 November 2023 |
| Series 66 | Uniform Combined State Law Examination | 13 June 2022 |
| Series 7TO | General Securities Representative Examination | 16 May 2022 |
| SIE | Securities Industry Essentials Examination | 11 April 2022 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 July 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 18 April 2013 |
| Series 7 | General Securities Representative Examination | 19 February 2013 |
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 2373172
- Firm
- Veraz Advisors · CRD 304619
- Office
- 2355 SAN RAMON VALLEY BLVD,, SUITE 204, San Ramon, CA 94583
- Registration
- Investment adviser registration
- In the industry since
- September 2014
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- verazadvisors.com
Where does Sergio Rivera Vazquez work?
Sergio Rivera Vazquez is an investment adviser representative registered through Veraz Advisors, LLC since January 2026, and is not listed among the firm’s executive officers or direct owners.
Is Sergio Rivera Vazquez a financial advisor?
Yes. Sergio Rivera Vazquez has a current investment-adviser registration in California, through Veraz Advisors since January 2026.
How many years of experience does Sergio Rivera Vazquez have?
Sergio Rivera Vazquez has 12 years in the financial industry, since September 2014, across 4 adviser firms.
What exams has Sergio Rivera Vazquez passed?
Sergio Rivera Vazquez has passed 8 licensing exams: the Series 7, Series 63, Series 65, SIE, Series 7TO, Series 66, Series 10 and Series 9. The earliest, the Series 7, was passed in February 2013.
Where did Sergio Rivera Vazquez work before Veraz Advisors?
Before Veraz Advisors, Sergio Rivera Vazquez was registered through Brookwood Investment Group, October 2025 to December 2025; Edward Jones, April 2024 to July 2025; Morgan Stanley, June 2022 to March 2024.
Where is Sergio Rivera Vazquez based?
Sergio Rivera Vazquez’s registered office is in San Ramon, CA.
Is Sergio Rivera Vazquez registered with FINRA?
No. Sergio Rivera Vazquez has no current broker registration.
How can I verify Sergio Rivera Vazquez’s record?
Search CRD 2373172 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Sergio Rivera Vazquez’s full registration record.
