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Scottsdale, AZ • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2023-11-15 |
| AZ | RA | APPROVED | 2023-11-08 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Asset Management, Inc. | Houston | TX | 06/2012 | 07/2022 |
| National Securities Corporation | Houston | TX | 12/2012 | 07/2022 |
| B. Riley Wealth Management | Houston | TX | 07/2022 | 08/2023 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 08/2023 |
| Investment Trends Capital Group Llc | Scottsdale | AZ | 10/2023 | Present |
1- TARPON ENTERPRISES, LLC. NOT INVESTMENT RELATED; HOUSTON, TX; ONLY USED TO LIST BUSINESS EXPENSES FOR TAX PURPOSES; SOLE PROPRIETOR; 0 HOURS 2- INVESTMENT TRENDS LLC, NOT INVESTMENT RELATED; HELENA, MT; OWNER SINCE 9/2022; HOLDING ASSETS; 0 HOURS/MO
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-12-06 |
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