Nicholas John Twining

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
TX	RA	APPROVED_RES	2021-10-21
OH	RA	APPROVED	2020-03-08
SC	RA	APPROVED	2020-03-06

TX RA
APPROVED_RES

Since 2021-10-21
OH RA
APPROVED

Since 2020-03-08
SC RA
APPROVED

Since 2020-03-06

Branch Locations

Columbus, OH • United States

1 Promenade St. Building 1 Suite 202, Bluffton, SC 29910 • 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 Smith Barney Llc	Columbus	OH	06/2015	02/2020
Morgan Stanley Private Bank, National Association	New York	NY	09/2017	02/2020
National Securities Corp	Bluffton	NC	02/2020	07/2022
National Asset Management	Bluffton	NC	03/2020	07/2022
B. Riley Wealth Management	Bluffton	SC	07/2022	Present
B. Riley Wealth Advisors	Memphis	TN	07/2022	Present

06/2015 → 02/2020

Morgan Stanley Smith Barney Llc

Columbus, OH
09/2017 → 02/2020

Morgan Stanley Private Bank, National Association

New York, NY
02/2020 → 07/2022

National Securities Corp

Bluffton, NC
03/2020 → 07/2022

National Asset Management

Bluffton, NC
07/2022 → Present

B. Riley Wealth Management

Bluffton, SC
07/2022 → Present

B. Riley Wealth Advisors

Memphis, TN

Previous Registrations

2014-02-07 → 2020-03-06

Morgan Stanley

Columbus, OH

Columbus, OH

Beavercreek, OH

Dublin, OH
2012-10-01 → 2014-02-05

J.P. Morgan Securities Llc

Columbus, OH
2010-06-07 → 2012-10-01

Chase Investment Services Corp.

Columbus, OH

Other Businesses

HILTON HEAD ASSET MGMT GROUP, DBA, 1 PROMENADE STREET BLDG 1 SUITE 202 BLUFFTON, SC 29910. INVESTMENT ADVISORY, STARTED 3/2020, TIME DEVOTED IS 40HRS/WEEK...

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-11-10
S63	Uniform Securities Agent State Law Examination	2005-05-10

S65 Uniform Investment Adviser Law Examination

2010-11-10
S63 Uniform Securities Agent State Law Examination

2005-05-10

View on SEC IAPD