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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-21 |
| MS | RA | APPROVED | 2015-06-24 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corp | Natchez | MS | 06/2015 | 07/2022 |
| B. Riley Wealth Management | Natchez | MS | 07/2022 | Present |
| B. Riley Wealth Advisors, Inc. | Natchez | MS | 06/2015 | Present |
(1) B. RILEY WEALTH INSURANCE, INVESTMENT-RELATED, SAME ADDRESS AS B. RILEY, START 6/2015- INSURANCE SALES.. (2) ROTARY CLUB OF NATCHEZ; NON INVESTMENT RELATED; NATCHEZ, MS; CIVIC ORGANIZATION; BOARD MEMBER; START DATE: 2013; 4 HRS / MONTH DEVOTED DURING SECURITIES TRADING HRS. (3) BERGERON & PLAUCHE, LLC; INVESTMENT RELATED; 507 FRANKLIN ST. NATCHEZ, MS 39120; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 2009. 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. www.bergeronandplauchellc.com 4) Natchez City Cemetery Association; Non Investment-related; 2 Cemetery Road, Natchez, MS 39120; board member at large; start date 01/2026. 3 hours / month during securities trading hours
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 2000-11-17 |
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