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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-06-05 |
| TX | RA | APPROVED_RES | 2022-08-09 |
| NY | RA | APPROVED | 2022-08-08 |
Branch Locations
299 Park Avenue 21St Floor, New York, NY 10171 • United States
Darien, CT • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B. Riley Securities, Inc. | New York | NY | 01/2015 | Present |
| B. Riley Wealth Advisors, Inc. | New York | NY | 07/2022 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-01 |
| S63 | Uniform Securities Agent State Law Examination | 1992-05-20 |
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