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5429 Lbj Freeway Suite 750, Dallas, TX 75240 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2026-07-30 |
| TN | RA | APPROVED | 2024-09-19 |
Branch Locations
5100 Poplar Ave Suite 1501, Memphis, TN 38137 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B. Riley Wealth Management | Memphis | TN | 08/2002 | 09/2024 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 09/2024 |
| Prospera Financial Services Inc. | Dallas | TX | 09/2024 | Present |
Wunderlich & Company; Investment Related - No; 5100 Poplar Ave., Suite 1501, Memphis, TN 38137: Fiduciary Consulting Services; Fiduciary; Start Date 09/2024; 160 Hours Per Month, 130 During Trading Hours; Related Fiduciary Services Consulting Agreement details services, fees, disclosure, et al. Summit Settlement Services; Investment Related - Yes; 7155 Lake Drive Suite 110, Des Moines, IA 50266; Structured Settlement Broker Services; Affiliated Broker; Start Date 10/2024; 10 Hours Per Month, 10 During Trading Hours; Placing Structured Settlement Annuity Business through Provider Life Companies' Institutional Desks.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-08-08 |
| S63 | Uniform Securities Agent State Law Examination | 1989-04-03 |
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