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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-04-07
TX RA APPROVED 2025-04-04
  • FL RA
    APPROVED
    Since 2025-04-07
  • TX RA
    APPROVED
    Since 2025-04-04

Branch Locations

Miami, FL • United States

2333 Ponce Deleon Boulevard Suite 900, Coral Gables, FL 33134 • 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 Miami FL 01/2015 04/2025
B. Riley Wealth Advisors, Inc. Miami FL 07/2022 04/2025
Stifel, Nicolaus & Company, Incorporated Miami FL 04/2025 Present
Previous Registrations
  • 2022-08-05 → 2025-04-08
    Miami, FL
    Miami, FL
  • 2015-01-22 → 2022-12-31
    B. Riley Wealth Management
    Miami, FL
    Memphis, TN
    Miami, FL
  • 2006-08-10 → 2015-01-26
    Dominick & Dickerman Llc
    Miami, FL
    Miami, FL
  • 2003-01-17 → 2005-02-22
    Credit Suisse Securities (Usa) Llc
    Miami, FL
  • 1989-11-03 → 2003-01-17
    Pershing Llc
    Miami, FL
Other Businesses

1. Friends of UFM; C/O UHY Advisors, 7900 West Park Dr. Suite 1420 McLean VA 22102; An organization that raises money for a university in Guatemala; member of the Board of Directors; We have monthly Directors meetings; 09/01/2010; 4 hrs/month; Not during security trading hours; Not Investment-Related 2. Americans for Tax Reform; 722 12th St. NW Washington DC 20005; ATR is a public policy advocacy group; i host a monthly discussion group in Miami; 06/12/2019; 4 hrs/month; Not during security trading hours; Not Investment-Related 3. Churchill Society of South Florida; 12120 SW 88thAve Miami FL 33176; to promote the study of history; Chairman; Invite prominent historians to speak in South Florida; 01/01/2016; 5 hrs/quarter; Not during security trading hours; Not Investment-Related 4. Interamerican Institute for Democracy; 2100 Coral Way Miami FL 33145; promotes freedom and democracy in the Western Hemisphere; Member Board of Directors; Attend monthly Board Meetings; 12/20/2019; 6 hrs/month; Not during security trading hours; Not Investment-Related 5. Friends of UFM; C/O UHY Advisors, 7900 West Park Dr. Suite 1420 McLean VA 22102; We raise money for Universidad Francisco Marroquin, Guatemala's leading University; President; I chair Board meetings and send out an annual donor letter; 08/02/2010; 6 hrs/month; Not during security trading hours; Not Investment-Related 6. Hispanic American Center for Economic Research (HACER); 910 17th St., NW Suite 422 Washington, DC 20006; HACER is a nonprofit devoted to promote the study of economic issues pertinent to the countries of Hispanic America; Member, Board of Directors; Director; 11/30/2022; 3hrs/mth; Not during securities trading hours; Not investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-07-24
S63 Uniform Securities Agent State Law Examination 1980-02-22
  • S65 Uniform Investment Adviser Law Examination
    2006-07-24
  • S63 Uniform Securities Agent State Law Examination
    1980-02-22

View on SEC IAPD

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