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Current Employers
B. Riley Wealth Private Shares

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

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2023-04-10
  • TN RA
    APPROVED
    Since 2023-04-10

Branch Locations

6000 Poplar Ave Suite 201, Memphis, TN 38119 • United States

B. Riley Wealth Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-28
TN RA APPROVED 2022-07-27
  • TX RA
    APPROVED_RES
    Since 2022-07-28
  • TN RA
    APPROVED
    Since 2022-07-27

Branch Locations

6000 Poplar Ave Suite 201, Memphis, TN 38119 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • 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 11/2005 Present
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 Present
Other Businesses

(1) B. RILEY WEALTH MANAGEMENT HOLDINGS, INC INVESTMENT RELATED; SAME ADDRESS AS BRWM; HOLDING COMPANY FOR B. RILEY WEALTH ENTITIES; BOARD MEMBER, OFFICER; START DATE DECEMBER 1997; 0 HRS/MONTH DEVOTED. (2) INSBANK; 2505 21ST AVENUE, STE. 204, NASHVILLE, TN. 37212; START DATE: 2008; NOT INVESTMENT-RELATED; NATURE OF BUSINESS IS BANKING , BOARD MEMBER; WEBSITE: WWW.INSBANKTN.COM; I AM ON THE BOARD OF DIRECTORS AND ATTEND ALL QUARTERLY MEETINGS TO DISCUSS FINANCES AND VARIOUS STRATEGIC PLANNING COMMITTEES; I 4 HRS/MONTH, SOME DURING SOME TRADING HOURS.... (3) GREEN RIVER PROPERTIES; 270 W. CHERRY CIR MEMPHIS TN 38117; START DATE: 2000; NOT INVESTMENT-RELATED; FAMILY LLC SET UP TO HOLD FARMLAND HOLDINGS; MANAGER; FAMILY BUSINESS; 0 HOURS PER MONTH DEVOTED TO THIS ACTIVITY, 0 HOURS PER MONTH DURING TRADING HOURS.... (4) MPC PROPERTIES AND MPC PARTNERS; 270 W CHERRY CIR MEMPHIS TN 38117; START DATE; 2002; NOT INVESTMENT-RELATED; FAMILY LLC AND LP TO HOLD REAL ESTATE; FAMILY BUSINESS; 0 HOURS PER MONTH DEVOTED TO THIS ACTIVITY; MANAGER... (5) ASSISI FOUNDATION; 515 ERIN DRIVE MEMPHIS TN 38117; START DATE: 2006; NOT INVESTMENT-RELATED; FOUNDATION IN MEMPHIS WITH APPROX. $185MM OF ASSETS; CHARITY; 1 HOUR PER MONTH, DURING TRADING HOURS; BOARD MEMBER, TREASURER.... (6) GULF STATES HOLDINGS; 1301 CAMELLIA BLVD LAFAYETTE LA 70508; START: 08/15/2016; NOT INVESTMENT RELATED; BOARD MEMBER; HOMEOWNERS INSURANCE COMPANY IN LOUISIANA; 1 HOUR PER MONTH, DURING TRADING HOURS.... (7) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES; LICENSED INSURANCE AGENT; START DATE 09/2025; AS MANY HOURS AS NEEDED PER MONTH

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-01-19
S63 Uniform Securities Agent State Law Examination 1991-06-18
  • S65 Uniform Investment Adviser Law Examination
    1998-01-19
  • S63 Uniform Securities Agent State Law Examination
    1991-06-18

View on SEC IAPD

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