Allison Barbara Clago

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
TX	RA	APPROVED_RES	2021-10-18
CA	RA	APPROVED	2019-07-29

TX RA
APPROVED_RES

Since 2021-10-18
CA RA
APPROVED

Since 2019-07-29

Branch Locations

Tarzana, CA • United States

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025 • United States

Disclosures

3 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Wedbush Securities Inc.	Los Angeles	CA	12/2015	05/2019
National Securities Corp	Pasadena	CA	07/2019	07/2022
B. Riley Wealth Advisors	Memphis	TN	07/2019	Present
B. Riley Wealth Management	Memphis	TN	07/2022	Present

12/2015 → 05/2019

Wedbush Securities Inc.

Los Angeles, CA
07/2019 → 07/2022

National Securities Corp

Pasadena, CA
07/2019 → Present

B. Riley Wealth Advisors

Memphis, TN
07/2022 → Present

B. Riley Wealth Management

Memphis, TN

Previous Registrations

2016-01-05 → 2019-06-06

Wedbush Securities Inc.

Los Angeles, CA

Woodland Hills, CA

Tarzana, CA

Los Angeles, CA

Woodland Hills, CA
2008-12-05 → 2015-12-01

Stockcross Financial Services, Inc.

Beverly Hills, CA
2003-09-11 → 2006-12-04

Td Ameritrade, Inc.

Beverly Hills, CA

Beverly Hills, CA

Other Businesses

1) PROVIDENCE CEDARS SINAI TARZANA MEDICAL CENTER; NOT INVESTMENT-RELATED;18321 CLARK ST TARZANA CA 91356; NON PROFIT HOSPITAL; BOARD MEMBER; START DATE 11/2009; 1 HR/ MONTH DEVOTED 0 DURING SECURITIES TRADING HRS. 2) CLAGO FAMILY FOUNDATION; NON INVESTMENT-REALTED; 4742 AMIGO AVE TARZANA CA 91356; PHILANTHROPIC FAMILY FOUNDATION; PRESIDENT; START DATE: 01/2018; 10 HRS/MONTH DEVOTED, 3 DURING SECURITIES TRADING HRS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-06-20
S63	Uniform Securities Agent State Law Examination	1987-12-30

S65 Uniform Investment Adviser Law Examination

2002-06-20
S63 Uniform Securities Agent State Law Examination

1987-12-30

View on SEC IAPD