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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
FL RA APPROVED 2025-07-09
  • FL RA
    APPROVED
    Since 2025-07-09

Branch Locations

2901 W. Busch Blvd Twin Lakes Office Park 900-A, Tampa, FL 33618 • 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
Morgan Stanley Washington DC 10/2016 12/2017
Dicks Sporting Goods Fairfax VA 02/2014 09/2016
Raymond James Financial Services, Inc. Rockville MD 01/2018 11/2018
Lee Sipe And Associates Rockville MD 12/2017 09/2018
Lpl Financial Llc Frederick MD 01/2019 10/2019
Stratos Wealth Partners, Ltd Rockville MD 01/2019 10/2019
Guardian Life Insurance Company Chevy Chase MD 01/2020 02/2022
Park Avenue Securities Llc Chevy Chase MD 01/2020 02/2022
Raymond James Financial Services Advisors, Inc. Rockville MD 08/2018 09/2018
Massmutual Life Insurance Co Bethesda MD 04/2022 07/2024
Mml Investors Services, Llc Bethesda MD 04/2022 07/2024
Unemployed Riverview FL 08/2024 06/2025
B. Riley Wealth Management Memphis TN 06/2025 Present
  • 10/2016 → 12/2017
    Morgan Stanley
    Washington, DC
  • 02/2014 → 09/2016
    Dicks Sporting Goods
    Fairfax, VA
  • 01/2018 → 11/2018
    Raymond James Financial Services, Inc.
    Rockville, MD
  • 12/2017 → 09/2018
    Lee Sipe And Associates
    Rockville, MD
  • 01/2019 → 10/2019
    Lpl Financial Llc
    Frederick, MD
  • 01/2019 → 10/2019
    Rockville, MD
  • 01/2020 → 02/2022
    Guardian Life Insurance Company
    Chevy Chase, MD
  • 01/2020 → 02/2022
    Chevy Chase, MD
  • 08/2018 → 09/2018
    Rockville, MD
  • 04/2022 → 07/2024
    Massmutual Life Insurance Co
    Bethesda, MD
  • 04/2022 → 07/2024
    Bethesda, MD
  • 08/2024 → 06/2025
    Unemployed
    Riverview, FL
  • 06/2025 → Present
    B. Riley Wealth Management
    Memphis, TN
Previous Registrations
Other Businesses

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

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-16
  • S66 Uniform Combined State Law Examination
    2018-07-16
Other Names
  • Sheldon Frantz
  • Sheldon Thomas Frantz

View on SEC IAPD

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