Garrick Burton Gowing

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	2005-04-06

WA RA
APPROVED

Since 2005-04-06

Branch Locations

Seattle, 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

B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; 2101 FOURTH AVE STE 910 SEATTLE WA 98121; VARIABLE, TERM LIFE INSURANCE SALES; SENIOR ACCT. EXECUTIVE, AGENT; START DATE 11/2023 10 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-03-26
S63	Uniform Securities Agent State Law Examination	1994-02-28

S65 Uniform Investment Adviser Law Examination

2005-03-26
S63 Uniform Securities Agent State Law Examination

1994-02-28

View on SEC IAPD