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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TN | RA | APPROVED | 2024-10-14 |
| TX | RA | APPROVED | 2024-10-14 |
Branch Locations
4020 Aspen Grove Drive Suite 520, Franklin, TN 37067 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B. Riley Wealth Management | Memphis | TN | 02/2015 | 10/2024 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 10/2024 |
| R W Baird | Franklin | TN | 10/2024 | Present |
1. BERRY PENA WEALTH MANAGEMENT; INVESTMENT RELATED; 6700 TOWER CIRCLE STE 360 FRANKLIN TN 37067; MARKETING NAME FOR B. RILEY WEALTH MANAGEMENT BUSINESS; FINANCIAL ADVISOR; STARTED FEB 2015; ALL TRADING HOURS DEVOTED TO THIS ACTIVITY; ACTING IN FINANCIAL ADVISOR CAPACITY THROUGH B. RILEY WEALTH MANAGEMENT 2. BERRY FARMS; INVESTMENT RELATED; 244 OLD PEYTONSVILLE RD FRANKLIN TN 37064; REAL ESTATE DEVELOPMENT/JOINT VENTURE/RENTAL PROPERTY; LAND PARTNER; STARTED 2003; 4 HOURS DEVOTED PER MONTH; 0 HOURS DEVOTED DURING TRADING; I AM A LAND PARTNER AND HAVE NO RESPONSIBILITIES. 3. MOUNT HOPE CEMETARY; FRANKLIN, TN; BUSINESS IS NOT INVESTMENT RELATED; BOARD MEMBER; POSITION BEGAN IN 2012; 1 HOUR DEVOTED PER MONTH TO ACTIVITY; 0 HOURS DEVOTED TO ACTIVITY DURING TRADING HOURS. 4. COLUMBIA STATE COMMUNITY COLLEGE FOUNDATION BOARD; NON INVESTMENT RELATED; 1665 HAMPSHIRE PIKE COLUMBIA 38401; ENDOWMENT BOARD OF COLLEGE; BOARD MEMBER; START DATE 9/1/2023; 2 HRS/ MONTH DEVOTED, DURING SECURITIES TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-03 |
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