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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-09-21 |
Branch Locations
816 North Street, Suite 6, Nacogdoches, TX 75961 • United States
1 disclosure category 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 |
|---|---|---|---|---|
| Wfg Investments | Dallas | TX | 08/2016 | 08/2017 |
| Wfg Advisors | Dallas | TX | 08/2016 | 08/2017 |
| National Securities Corp | Dallas | TX | 08/2017 | 07/2022 |
| B. Riley Wealth Advisors | Dallas | TX | 08/2017 | Present |
| B. Riley Wealth Management | Nacogdoches | TX | 07/2022 | Present |
(1) SISU WEALTH MGMT; INVESTMENT-RELATED; DBA FOR BRWM BUSINESS; SAME ADDRESS AS BRWM; ALL BUSINESS CONDUCTED THROUGH B. RILEY WEALTH; START DATE: 08/2017; OWNER; WEALTH MGMT FOR CLIENTS... (2) B. RILEY WEALTH INSURANCE AND ANNUITIES; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES, LIFE INSURANCE AND ANNUITIES; LICENSED AGENT; START DATE: 01/2022; 120 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS...
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-01 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-10 |
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