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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-23 |
Branch Locations
11 Raymond Ave, Poughkeepsie, NY 12603 • United States
Poughkeepsie, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Gilman Ciocia, Inc. | Poughkeepsie | NY | 01/2007 | 07/2022 |
| National Securities Corporation | Newburgh | NY | 11/2013 | 07/2022 |
| B. Riley Wealth Management | Poughkeepsie | NY | 07/2022 | Present |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | Present |
(1) POUGHKEEPSIE - ARLINGTON ROTARY CLUB; NON INVESTMENT-RELATED; PO Box 2817 POUGHKEEPSIE, NY 12603; PRESIDENT; VOLUNTEER COMMUNITY ACTIVISM; PRESIDENT START DATE 07/2022; 10 HRS/MONTH, 2 DURING TRADING HRS; RUN MEETINGS 2) B. RILEY TAX SERVICES; NON INVESTMENT RELATED; 11 RAYMOND AVE POUGHKEEPSIE, NY 12603; TAX SERVICES, PREPARER; START DATE 2022; 20 HRS/MONTJ DEVOTED DURING SECURITIES TRADING HRS. 3) B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; 11 RAYMOND AVE POUGHKEEPSIE, NY 12603; LIFE INSURANCE, ANNUITY SALES, AGENT; START DATE 2022; 5 HRS/ MONTH DEVOTED DURING SECURITIES TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-11-27 |
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