Tracy Beth Cohen-mcluckie

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

B. Riley Wealth Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2022-06-09
TX	RA	APPROVED_RES	2021-10-21
NY	RA	APPROVED	2021-06-23

NC RA
APPROVED

Since 2022-06-09
TX RA
APPROVED_RES

Since 2021-10-21
NY RA
APPROVED

Since 2021-06-23

Branch Locations

Pittsboro, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
National Securities Corp	Plainview	NJ	06/2015	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisors	Memphis	TN	07/2022	Present

06/2015 → 07/2022

National Securities Corp

Plainview, NJ
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisors

Memphis, TN

Previous Registrations

2011-11-16 → 2015-06-25

Jhs Capital Advisors, Llc

Tampa, FL

Plainview, NY

Tampa, FL

Summit, NJ

Other Businesses

(1) NORTH SHORE WEALTH MANAGEMENT, LLC; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; DBA FOR BRWM BUSINESS, ALL BUSINESS CONDUCTED THROUGH B. RILEY WEALTH; VP OF INVESTMENTS; START DATE: 12/2005; 160 HRS/MONTH, DURING TRADING HOURS.... (2) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; INSURANCE SALES; AGENT; START DATE 2022; 4 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2011-11-11
S63	Uniform Securities Agent State Law Examination	1988-11-29

S65 Uniform Investment Adviser Law Examination

2011-11-11
S63 Uniform Securities Agent State Law Examination

1988-11-29

Other Names

Tracy Beth Mcluckie
Tracy Beth Cohen

View on SEC IAPD