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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2021-10-21 |
| CA | RA | APPROVED | 2017-08-21 |
Branch Locations
3930 Utah Street Suite K, San Diego, CA 92104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfg Investments, Inc. | San Diego | CA | 11/2009 | 08/2017 |
| National Securities Corp | San Diego | CA | 08/2017 | 07/2022 |
| National Asset Management | San Diego | CA | 08/2017 | 07/2022 |
| B. Riley Wealth Management | San Diego | CA | 07/2022 | Present |
| B. Riley Wealth Advisors, Inc. | San Diego | CA | 07/2022 | Present |
(1)TRADEWINDS WEALTH MANAGEMENT, INVESTMENT RELATED; 3930 UTAH ST STE K SAN DIEGO CA 92104; MARKETING NAME FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT, START DATE 7/2017 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS (2) B. RILEY WEALTH INSURANCE; FIXED INSURANCE SALES START 8/14/2017 (3) LEISCH FINANCIAL SERVICES, INC; INVESTMENT RELATED; 3930 UTAH ST STE K SAN DIEGO CA 92104; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT, START DATE 11/2009 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-04-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-05-01 |
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