Stephen Chung-Yee Loh

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 07/2019
  Wedbush Securities Inc.
  Woodland Hills, CA
• 07/2019 → Present
  B. Riley Wealth Advisors
  Pasadena, CA
• 07/2019 → 07/2022
  National Securities Corportion
  Pasadena, CA
• 07/2022 → Present
  B. Riley Wealth Management
  Pasadena, CA

Previous Registrations

• 2016-07-06 → 2019-08-01
  Wedbush Securities Inc.
  Woodland Hills, CA
  Boston, MA
  Los Angeles, CA
• 2011-01-03 → 2016-07-07
  Wells Fargo Clearing Services, Llc
  Arcadia, CA
  Alhambra, CA
  Temple City, CA
  Alhambra, CA
  Rosemead, CA
  Monterey Park, CA
  Los Angeles, CA
  Alhambra, CA
  Pasadena, CA
• 2006-03-27 → 2011-01-03
  Wells Fargo Investments, Llc
  Rosemead, CA
  Alhambra, CA
  Alhambra, CA
  Temple City, CA
  Arcadia, CA
  Arcadia, CA
  Monterey Park, CA
• 2003-09-11 → 2006-02-10
  Td Ameritrade, Inc.
  Beverly Hills, CA

Other Businesses

B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE; AGENT; START DATE: 07/2019; 3 HRS/MONTH DURING SECURITIES TRADING HRS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-10-02
• S63 Uniform Securities Agent State Law Examination
  1995-11-22

Other Names

• Stephen Loh
• Stephen C Loh