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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-04-04
TX RA APPROVED 2025-04-04
  • MI RA
    APPROVED
    Since 2025-04-04
  • TX RA
    APPROVED
    Since 2025-04-04

Branch Locations

440 West Main Street Suite 200, Brighton, MI 48116 • 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
OrganizationCityStateFromTo
B. Riley Wealth Management Memphis TN 10/2010 04/2025
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 04/2025
Stifel, Nicolaus & Company, Incorporated Brighton MI 04/2025 Present
Previous Registrations
Other Businesses

1. Finra; 55 west Monroe St. suite 2600 Chicago, IL 60603; financial industry regulator; Industry Arbitrator; could be called on as an industry panelist in an arbitration; 01/01/1990; 0/year; Not during securities trading hours; Investment-Related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-07-02
S63 Uniform Securities Agent State Law Examination 1985-01-08
  • S65 Uniform Investment Adviser Law Examination
    1996-07-02
  • S63 Uniform Securities Agent State Law Examination
    1985-01-08

View on SEC IAPD

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