Yitzchok Asher Goodman

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
NY	RA	APPROVED	2021-12-01
CA	RA	APPROVED	2019-04-03

NY RA
APPROVED

Since 2021-12-01
CA RA
APPROVED

Since 2019-04-03

Branch Locations

Brooklyn, NY • United States

Disclosures

2 disclosure categories 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 Yes

Employment History

Organization	City	State	From	To
Morgan Stanley Smith Barney	New York	NY	06/2009	08/2018
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	08/2018
National Securities Corp	New York	NY	03/2019	07/2022
Unemployed	Brooklyn	NY	09/2018	02/2019
National Asset Management	New York	NY	03/2019	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisors	Memphis	TN	07/2022	Present

06/2009 → 08/2018

Morgan Stanley Smith Barney

New York, NY
01/2015 → 08/2018

Morgan Stanley Private Bank, National Association

New York, NY
03/2019 → 07/2022

National Securities Corp

New York, NY
09/2018 → 02/2019

Unemployed

Brooklyn, NY
03/2019 → 07/2022

National Asset Management

New York, NY
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisors

Memphis, TN

Previous Registrations

2009-06-01 → 2018-09-05

Morgan Stanley

New York, NY
1993-10-26 → 2009-06-01

Citigroup Global Markets Inc.

New York, NY

New York, NY

Other Businesses

(1) B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; 2-10 BROAD STREET SUITE 203/303 RED BANK, NJ, USA, 07701; INSURANCE SALES; AGENT; START DATE: 2022, 30 MIN/ WEEK DURING SECURITIES TRADING HRS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2021-11-29
S63	Uniform Securities Agent State Law Examination	1983-07-20

S65 Uniform Investment Adviser Law Examination

2021-11-29
S63 Uniform Securities Agent State Law Examination

1983-07-20

Other Names

Asher Goodman

View on SEC IAPD