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Current Employers
B. Riley Wealth Advisors, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-26
LA RA APPROVED 2022-08-16
  • TX RA
    APPROVED_RES
    Since 2024-04-26
  • LA RA
    APPROVED
    Since 2022-08-16

Branch Locations

101 Rue Fontaine Building 3, Suite A, Lafayette, LA 70508 • 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
OrganizationCityStateFromTo
Morgan Stanley Lafayette LA 03/2014 09/2017
Morgan Stanley Private Bank, National Association New York NY 01/2015 09/2017
Wunderlich Securities, Inc. Memphis TN 09/2017 09/2017
B. Riley Wealth Management Lafayette LA 09/2017 Present
B. Riley Wealth Advisors, Inc. Lafayette LA 07/2022 Present
  • 03/2014 → 09/2017
    Lafayette, LA
  • 01/2015 → 09/2017
    Morgan Stanley Private Bank, National Association
    New York, NY
  • 09/2017 → 09/2017
    Wunderlich Securities, Inc.
    Memphis, TN
  • 09/2017 → Present
    B. Riley Wealth Management
    Lafayette, LA
  • 07/2022 → Present
    Lafayette, LA
Previous Registrations
  • 2014-05-30 → 2017-09-12
    Lafayette, LA
    Lafayette, LA
    Lake Charles, LA
Other Businesses

1. Acadiana HS Academy of Business Advisory Board; non investment-related; 315 Rue du Belier, Lafayette, LA 70506; board determines direction of academy and raises funds for students of the academy; board member; start date 2015; 1 hour devoted per month, 0 during securities trading hours. 2. Meridian Financial Partners; Investment related; 101 Rue Fontaine BLDG 3, Suite A Lafayette, LA 70508; marketing name for financial securities business conducted through B. Riley Wealth Management; start date 2023. 40 hours / week devoted during securities trading hours. 3. B. Riley Wealth Insurance; Investment-Related; Same Address as BRWM; Fixed Insurance Sales; Licensed Insurance Agent; Start Date 09/2025; As Many Hours As Needed Per Month

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-29
  • S66 Uniform Combined State Law Examination
    2014-05-29

View on SEC IAPD

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