Emily Plauche Maxwell

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2015 → 07/2022
  National Securities Corp
  Natchez, MS
• 07/2022 → Present
  B. Riley Wealth Management
  Natchez, MS
• 06/2015 → Present
  B. Riley Wealth Advisors, Inc.
  Natchez, MS

Previous Registrations

• 2010-09-30 → 2015-06-23
  Jhs Capital Advisors, Llc
  Tampa, FL
  Natchez,, MS
  Summit, NJ
• 2006-06-05 → 2010-03-30
  Gunnallen Financial, Inc
  Natchez, MS
• 2006-01-23 → 2006-06-05
  Stifel Independent Advisors, Llc
  Natchez, MS
  Natchez, MS

Other Businesses

(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

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-17
• S63 Uniform Securities Agent State Law Examination
  2000-11-17

Designations

• Certified Financial Planner

Other Names

• Emily Plauche