James E Swinney

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	2024-02-20
PA	RA	APPROVED	2023-11-09
VA	RA	APPROVED	2022-08-30
MD	RA	APPROVED	2022-07-27

TX RA
APPROVED_RES

Since 2024-02-20
PA RA
APPROVED

Since 2023-11-09
VA RA
APPROVED

Since 2022-08-30
MD RA
APPROVED

Since 2022-07-27

Branch Locations

Annapolis, MD • United States

Disclosures

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.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Morgan Stanley	Hunt Valley	MD	06/2015	07/2020
Morgan Stanley Private Bank, National Association	New York	NY	07/2015	07/2020
B.RIley Wealth Management, Inc.	Memphis	TN	07/2020	Present
Morgan Stanley Private Bank, N.A	New York	NY	07/2020	07/2020
B. Riley Wealth Advisors, Inc.	Memphis	TN	07/2022	Present

06/2015 → 07/2020

Morgan Stanley

Hunt Valley, MD
07/2015 → 07/2020

Morgan Stanley Private Bank, National Association

New York, NY
07/2020 → Present

B.RIley Wealth Management, Inc.

Memphis, TN
07/2020 → 07/2020

Morgan Stanley Private Bank, N.A

New York, NY
07/2022 → Present

B. Riley Wealth Advisors, Inc.

Memphis, TN

Previous Registrations

2015-06-26 → 2020-08-06

Morgan Stanley

Hunt Valley, MD
2012-06-26 → 2015-07-24

Mutual Of Omaha Investor Services, Inc.

Blue Bell, PA

Hunt Valley, MD

Hunt Valley, MD

Columbia, MD
2008-11-26 → 2010-09-28

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ocean City, MD

Other Businesses

1.HEALTH INSURANCE SALES; INVESTMENT RELATED; 409 RIDING RIDGE RD ANNAPOLIS, MD 21403; HEALTH INSURANCE, MEDICARE; AGENT; START DATE 7/2025; 5-10 HOURS/MONTH DEVOTED NONE DURING SECURITIES TRADING HOURS. 2.B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES; LICENSED INSURANCE AGENT; START DATE 09/2025; AS MANY HOURS AS NEEDED PER MONTH 3. JDA TSG - Tax Services Group; Not investment-related; 409 Riding Ridge Rd Annapolis, MD 21403; Tax prep and tax services support for individual taxpayers; Start date 03/2026; 60 hrs/month devoted, none during securities trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-11-20

S66 Uniform Combined State Law Examination

2008-11-20

Other Names

James Swinney
James Edward Swinney
James Edward Swinney
James E Swinney
James E Swinney

View on SEC IAPD