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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-01-12 |
Branch Locations
1780 Hughes Landing Blvd Suite 475, The Woodlands, TX 77380 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Houston | TX | 10/2009 | 01/2018 |
| Ameriprise Financial Services, Inc. | The Woodlands | TX | 10/2009 | 01/2018 |
| National Securities Corp | The Woodlands | TX | 01/2018 | 07/2022 |
| B. Riley Wealth Advisors | The Woodlands | TX | 01/2018 | Present |
| B. Riley Wealth Management | The Woodlands | TX | 07/2022 | Present |
(1) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; INSURANCE PRODUCTS SALES & SERVICE; SAME ADDRESS AS BRWM; INVESTMENT EXECUTIVE; START DATE: 01/2018; 15 HRS/MONTH, DURING TRADING HOURS, INSURANCE PRODUCT SALES & SERVICE... (2) I 3 WEALTH MANAGEMENT; NOT INVESTMENT-RELATED; PASS THROUGH ENTITY FOR WEALTH MANAGEMENT BUSINSES, ALL BUSINESS CONDUCTED THROUGH BRWM; PARTNER; START DATE 01/2018; 0 HRS/MONTH.... (3) JBT WEALTH MANAGEMENT; INVESTMENT- RELATED; 1780 HUGHES LANDING BLVD Blvd. STE 475 THE WOODLANDS, TX 77380; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 11/2023. 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-17 |
| S63 | Uniform Securities Agent State Law Examination | 1995-05-12 |
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