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Current Employers
B. Riley Wealth Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-10-18
CO RA APPROVED 2023-03-21
  • CA RA
    APPROVED
    Since 2023-10-18
  • CO RA
    APPROVED
    Since 2023-03-21

Branch Locations

Castle Rock, CO • 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
OrganizationCityStateFromTo
B. Riley Wealth Management Memphis TN 10/2012 09/2022
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 09/2022
Unemployed Castle Rock CO 09/2022 03/2023
B. Riley Wealth Management Memphis TN 03/2023 Present
B. Riley Wealth Advisors, Inc Memphis TN 03/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-08-25
  • S66 Uniform Combined State Law Examination
    2010-08-25

View on SEC IAPD

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