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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2023-06-07 |
Branch Locations
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 |
|---|---|---|---|---|
| Janney Montgomery Scott Llc | Boston | MA | 12/2015 | 01/2020 |
| National Securities Corp | Boston | MA | 01/2020 | 07/2022 |
| B. Riley Wealth Advisors, Inc. | Boston | MA | 01/2020 | Present |
| B. Riley Wealth Management | Tampa | FL | 07/2022 | Present |
| Lpl Financial Llc | Boxford | MA | 06/2023 | Present |
1) 05/2023 - Laurel Wealth Management, LLC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - Start date 06/01/2023 - Hrs per month 100 2) 04/11/2024 - Laurel Wealth Management, Inc. - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 3/15/2024 - 160 Hrs/Mo; 8 Hrs During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-22 |
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