Suraj Arun Joshi

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

• 09/2005 → 07/2022
  National Securities Corporation
  Seattle, WA
• 07/2022 → Present
  B. Riley Wealth Management
  Seattle, WA
• 08/2023 → Present
  B. Riley Wealth Advisors
  Memphis, TN

Previous Registrations

• 2006-02-10 → 2018-05-29
  B. Riley Wealth Advisors, Inc.
  Seattle, WA
  Seattle, WA
  Memphis, TN
  Seattle, WA

Other Businesses

(1) JOSHI CORP; NOT INVESTMENT-RELATED; ENTITY FOR TAX PURPOSES ONLY; OWNER; START DATE 2005; 1 HR/MONTH, 0 DURING TRADING HOURS; USED TO KEEP PAY STUBS FROM BRWM BUSINESS FOR TAXES..... (2) B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; 2121 4TH AVE STE 910 SEATTLE WA 98121; INSURANCE SALES; BROKER; START DATE 07/2022; 1 HRS/MONTH DEVOTED, NONE DURING SECURITIES TRADING HRS; SALE OF INSURANCE PRODUCTS (3) JOSHI VENTURES; NON INVESTMENT RELATED; 6398 166TH PL SE BELLEVUE WA 98006; TAXES- 1099 INCOME FROM BRWM; OWNER; START DATE 5/2025; 5 HOURS/ MONTH DEVOTED NONE DURING SECURITIES TRADING HOURS

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-09-02
• S63 Uniform Securities Agent State Law Examination
  1993-08-11