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1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-07-02 |
| OH | RA | APPROVED | 2025-07-02 |
| TX | RA | APPROVED | 2025-06-25 |
Branch Locations
Scottsdale, AZ • United States
5885 Landebrook Drive Suite 304, Mayfield Heights, OH 44124 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| B. Riley Wealth Management | Mayfield Heights | OH | 03/2007 | 06/2025 |
| B. Riley Wealth Advisors, Inc. | Mayfield Heights | OH | 07/2022 | 06/2025 |
| Cetera Wealth Services Llc | El Segundo | CA | 06/2025 | Present |
| Cetera Investment Advisers Llc | Schaumburg | IL | 06/2025 | Present |
| The Oasis Asset Management Group Inc | Mayfield Heights | OH | 11/2005 | Present |
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 01/1972 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS 2. NAME OF OTHER BUSINESS: THE OASIS ASSET MANAGEMENT GROUP INC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 11/2005 POSITION/TITLE/RELATIONSHIP: CEO APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: GENERAL PLANNING, PROVIDING FINANCIAL SERVICES
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1992-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 1982-11-17 |
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