Edward L Caruth

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:

Current Employers

B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-08-06
PA	RA	APPROVED	2019-12-12

TX RA
APPROVED_RES

Since 2021-08-06
PA RA
APPROVED

Since 2019-12-12

Branch Locations

Bangor, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
National Securities Corporation	Morristown	NJ	07/2016	07/2022
National Asset Management	Tinton Falls	NJ	08/2016	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisors, Inc.	Memphis	TN	07/2022	Present

07/2016 → 07/2022

National Securities Corporation

Morristown, NJ
08/2016 → 07/2022

National Asset Management

Tinton Falls, NJ
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisors, Inc.

Memphis, TN

Previous Registrations

2008-10-08 → 2016-07-11

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Florham Park, NJ

Allentown, PA

Other Businesses

1. B. RILEY WEALTH INSURANCE, INVESTMENT RELATED; BANGOR,PA; INSURANCE SALES & SERVICING; ANNUITY SALES &SERVICING; AGENT; START 9/2016, 8 HRS PER MONTH DURING SECURITIES TRADING HRS. 2.TWIN FLAME ENERGY LLC.; NON INVESTMENT RELATED; 31 THOROUGHBRED CT BANGOR PA 18013; HEALYH RELATED PRODUCTS MARKETING; PRESIDENT; START DATE 2024; 20 HRS/ MONTH DEVOTED 0 DURING SECURTIES TRADING HRS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-10-02

S66 Uniform Combined State Law Examination

2008-10-02

View on SEC IAPD