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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-10-14 |
| TX | RA | APPROVED_RES | 2024-10-14 |
Branch Locations
4020 Aspen Grove Drive Suite 520, Franklin, TN 37067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B. Riley Wealth Management | Franklin | TN | 02/2015 | 10/2024 |
| B. Riley Wealth Advisors, Inc. | Franklin | TN | 07/2022 | 10/2024 |
| Robert W Baird | Franklin | TN | 10/2024 | Present |
BERRY PENA WEALTH MANAGEMENT ; INVESTMENT RELATED; 6700 TOWER CIRCLE STE 360 FRANKLIN, TN 37067; MARKETING NAME FOR B. RILEY WEALTH MANAGEMENT BUSINESS; FINANCIAL ADVISOR; STARTED FEB 2015; ALL TRADING HOURS DEVOTED TO THIS ACTIVITY; ACTING IN FINANCIAL ADVISOR CAPACITY THROUGH B. RILEY WEALTH MANAGEMENT. *****NOTARY STATE OF TN; NOT INVESTMENT RELATED; 6526 CORNWALL COURT NASHVILLE TN 37205; NOTARY; STARTED 2015; LESS THAN 1 HOUR PER MONTH DEVOTED; LESS THAN 1 HOUR PER MONTH DEVOTED DURING TRADING; NOTARIZE VARIOUS DOCUMENTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2001-01-16 |
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