David William Frederick

Current Employers

Employment History

• 11/2013 → 07/2022
  National Securities Corporation
  Poughkeepsie, NY
• 07/2022 → Present
  B. Riley Wealth Management
  Poughkeepsie, NY
• 07/2022 → Present
  B. Riley Wealth Advisors, Inc.
  Memphis, TN

Previous Registrations

• 2005-04-07 → 2014-05-06
  Asset & Financial Planning, Ltd
  Poughkeepsie, NY

Other Businesses

(1) PRIME WEALTH MANAGEMENT LLC, DBA PRIME TAX PLANNING DIVISION; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; INCOME TAX PLANNING & PREPARATION & BOOKKEEPING; 65% OWNER OF LLC, MANAGING PARTNER AND GENERAL BUSINESS MANAGER; START DATE: 01/2014; 15 HRS/MONTH, 0 DURING TRADING HOURS; MARKETING & PROMOTION OF INCOME TAX PREPARATION... (2) PRIME RETIREMENT ASSET MGMT, INC., DBA PRIME WEALTH MANAGEMENT; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; BILL PAYING ENTITY; PRESIDENT, 65% OWNERSHIP; START DATE: 01/1996; 40 HRS/WEEK, DURING TRADING HOURS; ALL BUSINESS DONE THRU BRWM; INVESTMENTS & FINANCIAL PLANNING... (3) B. RILEY WEALTH INSURANCE CORPORATION; INVESTMENT-RELATED; FIXED LIFE INSURANCE PRODUCTS; LICENSED INSURANCE AGENT; 1-2 HRS/MONTH.... (4) Prime Eastdale, LLC; non-investment-related; real estate "future office location" mgmt; Managing Partner; 926 Dutchess Turnpike, Poughkeepsie, NY 12603; start date 09/26/2025; 1-2 hrs/month, 0 hrs during securities trading hrs. (5) 926 Dutchess Turnpike Holdings, LLC; investment-related; Holding Company for the ownership of our future office property; Member; 45 Eastdale Ave, Suite 200 Poughkeepsie, NY 12603; start date 09/26/25; 2 hrs/month, 0 hrs during securities trading hrs. (6) 926 Dutchess Turnpike, LLC; investment-related; Ownership, development and leasing of the property; Member; 45 Eastdale Ave, Suite 200 Poughkeepsie, NY 12603; start date 09/26/25; 2 hrs/month, 0 hrs during securities trading hrs.

Exams

• S63 Uniform Securities Agent State Law Examination
  1997-10-01

Designations