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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2024-04-17 |
| TX | RA | APPROVED_RES | 2024-02-28 |
Branch Locations
1701 Pennsylvania Ave Suite 216, Washington, DC 20006 • United States
1201 Dove Street Suite 200, Newport Beach, CA 92660 • United States
1701 Pennsylvania Ave Suite 220, Washington, DC 20006 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Financial Network, Llc | Washington | DC | 02/2013 | 10/2020 |
| B. Riley Wealth Management | Memphis | TN | 10/2020 | 02/2024 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 02/2024 |
| Alliance Global Partners | Washington | DC | 02/2024 | Present |
1)HARTLEY LLC; NON INVESTMENT RELATED; 3 POKANOKET LN S DARTMOUTH MA 02748; PARTNER; RENTAL PROPERTY CO OWNED WITH BROTHER; START DATE 2004; 1 HR/WEEK DEVOTED DURING SECURITIES TRADING HRS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-11-09 |
| S63 | Uniform Securities Agent State Law Examination | 1995-10-16 |
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