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Robert Irving Rafford

B. Riley Wealth Advisors, Inc.

New York, NY

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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
NY RA APPROVED 2022-07-25
  • NY RA
    APPROVED
    Since 2022-07-25

Branch Locations

299 Park Avenue 21St Floor, New York, NY 10171 • 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
B. Riley Wealth Management New York NY 01/2015 Present
B. Riley Wealth Advisors, Inc. New York NY 07/2022 Present
Previous Registrations
  • 2006-09-07 → 2015-01-28
    Dominick & Dickerman Llc
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-08-05
S63 Uniform Securities Agent State Law Examination 1979-09-27
  • S65 Uniform Investment Adviser Law Examination
    1991-08-05
  • S63 Uniform Securities Agent State Law Examination
    1979-09-27

View on SEC IAPD

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