Michael John Kapp

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2010 → 08/2022
  B. Riley Wealth Management
  Memphis, TN
• 07/2022 → Present
  B. Riley Wealth Advisors, Inc
  Memphis, TN
• 05/2019 → Present
  B. Riley Securities, Inc.
  Los Angeles, CA

Previous Registrations

• 2010-07-19 → 2022-08-31
  B. Riley Wealth Management
  New York, NY
  Parsippany, NJ
  New York, NY
  New York, NY
• 2022-08-11 → 2022-08-31
  B. Riley Wealth Advisors, Inc.
  Parsippany, NJ
• 2008-11-13 → 2010-07-15
  Jesup & Lamont Securities Corp
  Parsippany, NJ
  New York, NY
  Parsippany, NJ
• 2006-10-18 → 2008-12-08
  Financial Northeastern Securities, Llc
  Fairfield, NJ
  Fairfield, NJ
  Fairfield, NJ

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-08-20
• S63 Uniform Securities Agent State Law Examination
  1993-01-22

Other Names

• Michael John Kapp