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Current Employers
B. Riley Wealth Advisors, Inc.

40 S. Main St. Suite 1600, Memphis, TN 38103 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-05-30
  • NY RA
    APPROVED
    Since 2024-05-30

Branch Locations

11 Raymond Ave, Poughkeepsie, NY 12603 • 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
National Securities Corporation Poughkeepsie NY 12/2021 07/2022
Doordash New Paltz NY 06/2022 02/2024
Unemployed New Paltz NY 08/2020 10/2021
Domino's Monroe NY 06/2020 08/2020
Unemployed New Paltz NY 03/2020 05/2020
Top Notch New Square NY 03/2017 03/2020
Kate Spade Monroe-Woodbury NY 09/2016 02/2017
Items4Onlinesellers Newburgh NY 06/2016 09/2016
Shoprite Monroe NY 12/2015 03/2017
State University Of New York At New Paltz New Paltz NY 08/2019 06/2022
State University Of New York At Orange Middletown NY 08/2015 06/2019
B. Riley Wealth Management Poughkeepsie NY 07/2022 Present
B. Riley Wealth Advisors Memphis TN 06/2023 Present
  • 12/2021 → 07/2022
    National Securities Corporation
    Poughkeepsie, NY
  • 06/2022 → 02/2024
    Doordash
    New Paltz, NY
  • 08/2020 → 10/2021
    Unemployed
    New Paltz, NY
  • 06/2020 → 08/2020
    Domino's
    Monroe, NY
  • 03/2020 → 05/2020
    Unemployed
    New Paltz, NY
  • 03/2017 → 03/2020
    Top Notch
    New Square, NY
  • 09/2016 → 02/2017
    Kate Spade
    Monroe-Woodbury, NY
  • 06/2016 → 09/2016
    Items4Onlinesellers
    Newburgh, NY
  • 12/2015 → 03/2017
    Shoprite
    Monroe, NY
  • 08/2019 → 06/2022
    State University Of New York At New Paltz
    New Paltz, NY
  • 08/2015 → 06/2019
    State University Of New York At Orange
    Middletown, NY
  • 07/2022 → Present
    B. Riley Wealth Management
    Poughkeepsie, NY
  • 06/2023 → Present
    B. Riley Wealth Advisors
    Memphis, TN
Other Businesses

1. Trading card games vendor; Non investment related; 9 McGarrah Rd Monroe NY 10950; Trading card games; Vendor; Start date 1/2024; 5-8 hours/ month devoted, none during securities trading hours. 2. B. Riley Tax Services; Non investment related; 11 Raymond Ave Poughkeepsie NY 12603; Tax; Tax preparer; start date 2021; 30-50 hrs/month devoted during tax season 4hrs/month during off season.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-05-29
S63 Uniform Securities Agent State Law Examination 2023-12-13
  • S65 Uniform Investment Adviser Law Examination
    2024-05-29
  • S63 Uniform Securities Agent State Law Examination
    2023-12-13
Other Names
  • Gerry Flores

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