Dale Enright Smith

B. Riley Wealth Advisors, Inc.

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Current Employers

B. Riley Wealth Advisors, Inc.

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2014-08-18

FL RA
APPROVED

Since 2014-08-18

Branch Locations

Boca Raton, FL • 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

Organization	City	State	From	To
National Securities Corporation	Boca Raton	FL	12/2013	07/2022
B. Riley Wealth Management	Memphis	TN	07/2022	Present
B. Riley Wealth Advisors	Memphis	TN	07/2022	Present

12/2013 → 07/2022

National Securities Corporation

Boca Raton, FL
07/2022 → Present

B. Riley Wealth Management

Memphis, TN
07/2022 → Present

B. Riley Wealth Advisors

Memphis, TN

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-07-17
S63	Uniform Securities Agent State Law Examination	2004-05-21

S65 Uniform Investment Adviser Law Examination

2014-07-17
S63 Uniform Securities Agent State Law Examination

2004-05-21

Other Names

Dale Smith

View on SEC IAPD

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