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B. Riley Wealth Advisors, Inc. CRD 115927
$4.21B regulatory AUM 40 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-23 |
| TX | RA | APPROVED | 2020-09-13 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| United Advisor Services, Llc | New York | NY | 07/2013 | 09/2020 |
| B. Riley Wealth Advisors, Inc | New York | NY | 09/2020 | Present |
(1) WEST ESPLANADE PROPERTIES, LLC; INVESTMENT RELATED; 4440 CHASTANT ST STE D METAIRIE LA 70006; STRIP MALL SHOPPING CENTER; OWNER; START DATE 9/2007; 3 HRS/ MONTH DEVOTEDNONE DURING SECURITIES TRADING HRS; (2) Aspen Oak Asset Management; Investment-Related; Same Address as BRWA; Marketing Name for Advisory Business; Start Date 01/2017; 140 Hrs/Month.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-02-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-01-20 |
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