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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 |
Branch Locations
400 Post Ave Suite 202, Westbury, NY 11590 • United States
Commack, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corp | Westbury | NY | 04/2014 | 07/2022 |
| B. Riley Wealth Advisors | Westbury | NY | 06/2016 | Present |
| B. Riley Wealth Management | Westbury | NY | 07/2022 | Present |
(1) B. RILEY WEALTH INSURANCE ; INVESTMENT-RELATED; 400 POST AVE STE 200 WESTBURY NY 11590; INSURANCE SALES; FINANCIAL PLANNER; START DATE 2023 4-8 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS. (2) ESSENTIAL ADVISORY SERVICES; INVESTMENT-RELATED; 400 POST AVE STE 200 WESTBURY NY 11590;DBA FOR INVESTMENT ADVISORY SERVICES AND eMONEY RETIREMENT PLANNING; START DATE: 2020; INVESTMENT EXECUTIVE; 20 HRS/MONTH, ALL DURING TRADING HRS. (3) Notary Public; non-investment-related; 59 Calvert Ave., Commack, NY 11725; used to verify identity; 1 hr/month devoted to this business; 0 hrs./month devoted during securities trading hrs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-06-07 |
| S65 | Uniform Investment Adviser Law Examination | 2011-11-12 |
| S63 | Uniform Securities Agent State Law Examination | 2002-01-09 |
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