James Steve Simos

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

• 05/2007 → 05/2018
  Infinity Securities, Inc. Dba Infinity Financial Services
  Oakland, CA
• 05/2018 → 07/2022
  National Securities Corp
  Tracy, CA
• 05/2018 → Present
  B. Riley Wealth Advisors
  Tracy, CA
• 07/2022 → Present
  B. Riley Wealth Management
  Tracy, CA

Previous Registrations

• 2008-03-24 → 2018-05-11
  Infinity Financial Services
  Orange, CA
  Atascadero, CA
  Oakland, CA
  Oakland, CA
  Oakland, CA
• 2006-06-20 → 2008-12-19
  Infinity Financial Services
  Oakland, CA
• 2004-09-17 → 2008-05-13
  Lpl Financial Llc
  Oakland, CA
• 2002-09-02 → 2004-09-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Castro Valley, CA

Other Businesses

1) ADELPHIA CAPITAL LLC; INVESTMENT-RELATED; PARTNER; INVESTMENT AND MANAGEMENT OF COMMERCIAL REAL ESTATE; SALT LAKE CITY, UT; START DATE 04/2017; 2 HRS/MONTH, DURING TRADING HOURS; GENERAL MANAGEMENT DUTIES.... 2) B. RILEY WEALTH INSURANCE CORP; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; SALES OF FIXED LIFE INSURANCE; INSURANCE AGENT; START DATE: 05/2018, 1 HR/MONTH, 0 DURING TRADING HOURS; SALES OF FIXED LIFE INSURANCE...

Exams

• S66 Uniform Combined State Law Examination
  2002-08-31

Designations

• Certified Financial Planner

Other Names

• James Steve Simos
• James Steve Simos