Jody Scott Balmer

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:

Current Employers

B. Riley Wealth Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2005-04-29

WA RA
APPROVED

Since 2005-04-29

Branch Locations

Newcastle, WA • 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

Organization	City	State	From	To
National Securities Corporation	Seattle	WA	08/1995	07/2022
B. Riley Wealth Advisors	Seattle	WA	04/2005	Present
B. Riley Wealth Management	Seattle	WA	07/2022	Present

08/1995 → 07/2022

National Securities Corporation

Seattle, WA
04/2005 → Present

B. Riley Wealth Advisors

Seattle, WA
07/2022 → Present

B. Riley Wealth Management

Seattle, WA

Other Businesses

(1) 401K RETIREMENT INC; NOT INVESTMENT-RELATED; SEATTLE, WA; PAYMENT OF BUSINESS EXPENSES; PRESIDENT; START DATE: 03/09/2001; 1 HR/MONTH, DURING SECURITIES TRADING HRS; ASSIGNED BROKERAGE COMMISSIONS FROM B. RILEY WEALTH TO THE CORPORATION FOR PAYMENT OF BUSINESS EXPENSES.... (2) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; INSURANCE SALES; AGENT, REPRESENTATIVE; 20 HRS/MTH, 5 DURING SECURITIES TRADING HOURS; START DATE: 03/2011....

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-04-21
S63	Uniform Securities Agent State Law Examination	1992-11-18

S65 Uniform Investment Adviser Law Examination

2005-04-21
S63 Uniform Securities Agent State Law Examination

1992-11-18

View on SEC IAPD