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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2022-11-16 |
| TX | RA | APPROVED | 2022-11-16 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Banorte-Ixe Securities International, Ltd | New York | NY | 01/2012 | 05/2020 |
| B. Riley Wealth Management | Memphis | TN | 10/2022 | Present |
| B. Riley Wealth Advisors, Inc | Memphis | TN | 10/2022 | Present |
| Unemployed | New York | NY | 05/2020 | 10/2022 |
1. Hunters' Gate Capital; Investment-Related; Same address as BRWM; Marketing name for financial securities business conducted through B. Riley Wealth Management; Start Date 12/2022; 40 hrs/week devoted during securities trading hrs. 2. Alumni / Parent Group; Non investment related; Support the alumni of the men's lacrosse team of Haverford College in raising funds for the school for the purpose of hiring an assistant coach; No official position or title; Start date 12/2023; 5 hrs/ month devoted 3 during securities trading hrs. 3. B. Riley Wealth Insurance; Investment related; Same address as BRWM; Insurance sales; Agent; Start date 5/2024; 10 hrs/month devoted, 5 during securities trading hrs. 4. Walter Hoehler - Sole proprietor; Non investment related; to purchase medical insurance coverage as a 1099; Start date 01/13/2026; 180 hrs/month devoted, all during securities trading hrs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-11-07 |
| S63 | Uniform Securities Agent State Law Examination | 1990-07-20 |
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