Peter Jeremy Sarner

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
TX	RA	APPROVED_RES	2021-10-21
CT	RA	APPROVED	2013-04-16

TX RA
APPROVED_RES

Since 2021-10-21
CT RA
APPROVED

Since 2013-04-16

Branch Locations

Lyme, CT • 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	New York	NY	01/2007	07/2022
B. Riley Wealth Advisors, Inc.	Lyme	CT	01/2007	Present
B. Riley Wealth Management	Lyme	CT	07/2022	Present

01/2007 → 07/2022

National Securities Corporation

New York, NY
01/2007 → Present

B. Riley Wealth Advisors, Inc.

Lyme, CT
07/2022 → Present

B. Riley Wealth Management

Lyme, CT

Previous Registrations

2005-09-13 → 2007-01-16

Oppenheimer & Co. Inc.

New York, NY

New York, NY

Other Businesses

(1) SARNER WEALTH MANAGEMENT, LLC; INVESTMENT RELATED; LYME, CT; PASS THROUGH LLC FOR MARKETING OF ADVISORY SERVICE; OWNER/CEO/CHAIRMAN; 03/26/2008; 2 HRS/MO; 0 HRS/MO DURING SECURITIES TRADING HRS; BOOKKEEPING AND MARKETING. ALL BUSINESS WILL BE CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT (2) B. RILEY WEALTH INSURANCE, INVESTMENT RELATED, LYME CT; HEALTH/ LIFE INSURANCE SALES; MANAGING DIRECTOR OF INVESTMENTS; START DATE 2022; 5 HRS/ MONTH DEVOTED DURING SECURITIES TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2005-08-16
S63	Uniform Securities Agent State Law Examination	1995-01-27

S65 Uniform Investment Adviser Law Examination

2005-08-16
S63 Uniform Securities Agent State Law Examination

1995-01-27

View on SEC IAPD