Andrew Thomas Farago

Current Employers

B. Riley Wealth Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-07-10

FL RA
APPROVED

Since 2018-07-10

Branch Locations

Boca Raton, FL • United States

5000 T-Rex Ave. Suite 300, Boca Raton, FL 33421 • United States

Boca Raton,, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
National Securities Corp	Boca Raton	FL	05/2018	07/2022
Unemployed	Boca Raton	FL	12/2015	01/2018
Keller Williams	Boca Raton	FL	01/2018	05/2018
B. Riley Wealth Advisor	Memphis	TN	07/2022	Present
B. Riley Wealth Management	Memphis	TN	07/2022	Present

05/2018 → 07/2022

National Securities Corp

Boca Raton, FL
12/2015 → 01/2018

Unemployed

Boca Raton, FL
01/2018 → 05/2018

Keller Williams

Boca Raton, FL
07/2022 → Present

B. Riley Wealth Advisor

Memphis, TN
07/2022 → Present

B. Riley Wealth Management

Memphis, TN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-06-18
S63	Uniform Securities Agent State Law Examination	2011-11-07

S66 Uniform Combined State Law Examination

2018-06-18
S63 Uniform Securities Agent State Law Examination

2011-11-07

Other Names

Andrew T Farago