Dennis P. Rivera

Dennis

Dennis P. Rivera, Broker

North Salem, NY

Toll free: 877-777-7181

Local: 914-669-9820 Ext 826

Email: drivera@managedcap.com

For the past 25 years, Dennis P. Rivera has been a financial services executive and has held various management and sales positions in, futures and options exchanges, clearing firms, and broker dealers.

As a former member of ICE Futures US and NYMEX, Mr. Rivera brings over 25 years of trading and operations experience to his privately held marketing and consulting firm, Lean 6 Financial.  He  oversees the overall marketing, consulting and sales efforts in developing strategies using Lean Six Sigma methodologies to achieve cost reducing operational efficiency. In addition, the marketing  and consulting firm  assists established and Emerging Traders in building their business infrastructure and raising assets in the US, Europe and Asia.

Currently an Associated Person ( AP ) of EmergingTraders.com which has been registered as an Introducing Broker ( IB ) and Commodity Pool Operator ( CPO ) since 1998 and 2006 respectively. EmergingTraders.com has been a member of the National Futures Association ( NFA ) since July 27, 1998.

His prior experience includes sales, research and trading positions for such firms as Shearson Lehman Brothers, InterMet Commodities, Dow Energy, Putter Trading Corp.,Park Avenue Asset Management, Liquidity Port, and principal owner of an independent floor brokerage firm D.P.Rivera & Co. Inc. servicing retail, commercial and institutional clients globally. He has served as Chairman and Vice Chairman of the New York Cotton Exchange Petroleum Associates and various exchange committees during his tenure as a member of ICE Futures US and NYMEX. Other roles include managing several futures trading desks specializing in softs commodities futures and options, capital introductions and managed futures sales and marketing.

Graduated from Iona College with a degree in Marketing, Mr. Rivera has completed continuing education in the methods of Lean Six Sigma at Villanova University in 2009 and is currently studying Arabic. Series 3, LSSS.

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THE RISK OF TRADING COMMODITY FUTURES AND OPTIONS IS SUBSTANTIAL. THE HIGH DEGREE OF LEVERAGE ASSOCIATED WITH COMMODITY FUTURES AND OPTIONS CAN WORK AGAINST YOU AS WELL AS FOR YOU. THIS HIGH DEGREE OF LEVERAGE CAN RESULT IN SUBSTANTIAL LOSSES, AS WELL AS GAINS. YOU SHOULD CAREFULLY CONSIDER WHETHER COMMODITY FUTURES AND OPTIONS IS SUITABLE FOR YOU IN LIGHT OF YOUR FINANCIAL CONDITION. IF YOU ARE UNSURE YOU SHOULD SEEK PROFESSIONAL ADVICE. PAST PERFORMANCE DOES NOT GUARANTEE FUTURE SUCCESS. IN SOME CASES MANAGED ACCOUNTS ARE CHARGED SUBSTANTIAL COMMISSIONS AND ADVISORY FEES. THOSE ACCOUNTS SUBJECT TO THESE CHARGES, MAY NEED TO MAKE SUBSTANTIAL TRADING PROFITS JUST TO AVOID DEPLETION OF THEIR ASSETS. EACH COMMODITY TRADING ADVISOR ("CTA") IS REQUIRED BY THE COMMODITY FUTURES TRADING COMMISSION ("CFTC") TO ISSUE TO PROSPECTIVE CLIENTS A RISK DISCLOSURE DOCUMENT OUTLINING THESE FEES, CONFLICTS OF INTEREST AND OTHER ASSOCIATED RISKS.