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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-23 |
| CT | RA | APPROVED | 2014-05-02 |
Branch Locations
484 Temple Hill Road Suite 106, New Windsor, NY 12553 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gilman Ciocia | Newburgh | NY | 07/2001 | 10/2022 |
| National Securities Corporation | Newburgh | NY | 11/2013 | 07/2022 |
| B. Riley Wealth Management | New Windsor | NY | 07/2022 | Present |
| B. Riley Wealth Advisors, Inc | Memphis | TN | 07/2022 | Present |
(1)B. RILEY WEALTH TAX SERVICES; TAX,INVESTMENT RELATED,540 GIDNEY AVE NEWBURGH, NY 12550,INVESTMENT AND FINANCIAL PLANNING,REGISTERED REP,START DATE:07/2001, 160 HOURS/MONTH, 100 HOURS/MONTH DURING TRADING HOURS, CPA-OFFICE MANAGER... (2) B. RILEY WEALTH INSURANCE; FIXED INSURANCE AGENT START 1/2001 2 HRS PER MONTH 2 HRS DURING TADING HRS (3) NOTARY, NOTARY, NEW WINDSOR, NY , LESS THAN 1 HR. PER MONTH, ZERO DURING TRADING HRS., NOT INVESTMENT RELATED
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 2001-05-03 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-14 |
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