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B. Riley Wealth Advisors, Inc. CRD 115927
$4.21B regulatory AUM 40 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-07-27 |
Branch Locations
200 South Wacker Drive Suite700A, Chicago, IL 60606 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rbc Capital Markets Corporation | Chicago | IL | 03/2008 | 10/2016 |
| Wunderlich Securities, Inc. | Memphis | TN | 10/2016 | 10/2016 |
| B. Riley Wealth Management | Chicago | IL | 10/2016 | Present |
| B. Riley Wealth Advisors, Inc. | Chicago | IL | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-10-15 |
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