Shawnna L Summers

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

• 01/2013 → 11/2016
  Wells Fargo Advisors
  Nashville, TN
• 11/2016 → 07/2021
  Wells Fargo Clearing Services, Llc
  Nashville, TN
• 08/2021 → 01/2022
  Pruco Securities, Llc
  Hermitage, TN
• 08/2021 → 08/2021
  The Prudential Insurance Company Of America
  Hermitage, TN
• 02/2022 → Present
  B. Riley Wealth Management
  Nashville, TN
• 07/2022 → Present
  B. Riley Wealth Advisors
  Memphis, TN

Previous Registrations

• 2021-08-04 → 2022-01-25
  Pruco Securities, Llc.
  Hermitage, TN
  Franklin, TN
  Atlanta, GA
• 2013-01-29 → 2021-07-27
  Wells Fargo Clearing Services, Llc
  Brentwood, TN
  Nashville, TN
  Atlanta, GA
  Atlanta, GA
• 2007-10-30 → 2013-02-04
  Ubs Financial Services Inc.
  San Diego, CA
  San Diego, CA
  Weehawken, NJ
  Nashville, TN
  San Diego, CA
• 2003-03-31 → 2007-10-15
  A. G. Edwards & Sons, Inc.
  San Diego, CA
  San Diego, CA
• 2003-02-25 → 2003-03-28
  Prudential Equity Group, Llc
  Sqan Diego, CA

Other Businesses

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

• S66 Uniform Combined State Law Examination
  2002-05-11
• S63 Uniform Securities Agent State Law Examination
  1998-12-07

Other Names

• Shawnna Swain
• Shawnna L Swain
• Shawnna Lee Summers
• Shawnna Lee Ferguson
• Shawnna L Summers