William Detar Shaw

Employer firm

B. Riley Wealth Advisors, Inc. CRD 115927

$4.21B regulatory AUM 40 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

B. Riley Wealth Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
WA	RA	APPROVED	2018-12-18

WA RA
APPROVED

Since 2018-12-18

Branch Locations

Seattle, WA • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Seattle	WA	02/1995	11/2018
National Securities Corp	Seattle	WA	11/2018	07/2022
National Asset Management	Seatlle	WA	11/2018	07/2022
B. Riley Wealth Management	Seattle	WA	07/2022	Present
B. Riley Wealth Advisors, Inc.	Memphis	TN	07/2022	Present

02/1995 → 11/2018

Ubs Financial Services Inc.

Seattle, WA
11/2018 → 07/2022

National Securities Corp

Seattle, WA
11/2018 → 07/2022

National Asset Management

Seatlle, WA
07/2022 → Present

B. Riley Wealth Management

Seattle, WA
07/2022 → Present

B. Riley Wealth Advisors, Inc.

Memphis, TN

Previous Registrations

1995-03-30 → 2018-12-14

Ubs Financial Services Inc.

Seattle, WA

Seattle, WA

Other Businesses

B.RILEY WEALTH INSURANCE; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE, INSURANCE AGENT; START DATE: 07/2022, 10 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS; SALES OF INSURANCE PRODUCTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-08-20
S63	Uniform Securities Agent State Law Examination	1985-02-07

S65 Uniform Investment Adviser Law Examination

1993-08-20
S63 Uniform Securities Agent State Law Examination

1985-02-07

Other Names

Will Shaw

View on SEC IAPD