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Current Employers
B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-23
  • NY RA
    APPROVED
    Since 2021-06-23

Branch Locations

11 Gay Rd 2Nd Floor, East Hampton, NY 11937 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
National Securities Corp East Hampton NY 12/2013 07/2022
B. Riley Wealth Management East Hampton NY 07/2022 Present
B. Riley Wealth Advisors Memphis TN 07/2022 Present
  • 12/2013 → 07/2022
    National Securities Corp
    East Hampton, NY
  • 07/2022 → Present
    B. Riley Wealth Management
    East Hampton, NY
  • 07/2022 → Present
    B. Riley Wealth Advisors
    Memphis, TN
Previous Registrations
  • 2012-11-05 → 2013-12-04
    Further Lane Asset Management, Llc
    New York, NY
Other Businesses

(1) OPES PRIVATE WEALTH MGMT LLC; DBA FOR B. RILEY WEALTH BUSINESS; SAME ADDRESS AS BRWM; CEO; START DATE 12/2013... (2) 231 E 138TH ST LLC; PASSIVE REAL ESTATE INVESTMENT; LIMITED PARTNER; HOWARD BEACH, NY; START DATE 02/2016; 0 HRS/MONTH... (3) ROCKAWAY BEACH CONDO LLP; PASSIVE REAL ESTATE; LIMITED PARTNER; HOWARD BEACH, NY; START DATE 11/2018; 0 HRS/MONTH... (4) B. RILEY WEALTH INSURANCE CORP; INVESTMENT-RELATED; INSURANCE SALES; AGENT; 5 HRS/MONTH, DURING TRADING HOURS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-01-19
  • S63 Uniform Securities Agent State Law Examination
    1990-01-19
Designations

View on SEC IAPD

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