Christopher Michael Stone

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:

Current Employers

B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-07-12

NY RA
APPROVED

Since 2021-07-12

Branch Locations

Port Washington, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Morgan Stanley	New York	NY	06/2014	11/2018
Winslow, Evans & Crocker, Inc.	Boston	MA	11/2018	03/2021
National Securities Corporation	New York	NY	03/2021	07/2022
National Asset Management	New York	NY	04/2021	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisors	Memphis	TN	07/2022	Present

06/2014 → 11/2018

Morgan Stanley

New York, NY
11/2018 → 03/2021

Winslow, Evans & Crocker, Inc.

Boston, MA
03/2021 → 07/2022

National Securities Corporation

New York, NY
04/2021 → 07/2022

National Asset Management

New York, NY
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisors

Memphis, TN

Other Businesses

(1) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; INSURANCE AND ANNUITY SALES; AGENT; START DATE 2025; 1 HR/MONTH DEVOTED DURING SECURITIES TRADING HRS. (2) APPLEBY ARMS OWNERS CORP; NON INVESTMENT-RELATED; NEW YORK, NY; MEMBER OF CO-OP BOARD FOR APARTMENT BUILDING; START DATE 09/2022; 1 HR/MONTH, 0 DURING SECURITIES TRADING HOURS...

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-09-09

S66 Uniform Combined State Law Examination

1998-09-09

Other Names

Christopher M Stone

View on SEC IAPD