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88 Post Road West 2Nd Floor, Westport, CT 06880 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-03-31 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Aegis Capital Corp | New York | NY | 09/2014 | 01/2020 |
| National Securities Corp | New York | NY | 01/2020 | 07/2022 |
| National Asset Management | New York | NY | 01/2020 | 07/2022 |
| B. Riley Wealth Management | New York | NY | 07/2022 | 03/2025 |
| B. Riley Wealth Advisors, Inc. | Memphis | TN | 07/2022 | 03/2025 |
| Alliance Global Partners | New York | NY | 03/2025 | Present |
B. RILEY WEALTH INSURANCE CORP; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES; INSURANCE AGENT; START DATE 01/2020; 10 HRS/MONTH, DURING TRADING HOURS; PROVIDE INSURANCE PRODUCTS TO CLIENTS...
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-11-29 |
| S65 | Uniform Investment Adviser Law Examination | 2019-05-17 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-22 |
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