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Gregory Jason Rothstein

B. Riley Wealth Advisors, Inc.

Lake Worth, FL

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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 2022-12-06
  • FL RA
    APPROVED
    Since 2022-12-06

Branch Locations

Lake Worth, FL • 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 Boca Raton FL 10/2017 07/2022
Bank Of America Boca Raton FL 08/2014 09/2017
B. Riley Wealth Management Memphis TN 05/2022 Present
B.RIley Wealth Advisors Memphis TN 11/2022 Present
  • 10/2017 → 07/2022
    National Securities Corporation
    Boca Raton, FL
  • 08/2014 → 09/2017
    Bank Of America
    Boca Raton, FL
  • 05/2022 → Present
    B. Riley Wealth Management
    Memphis, TN
  • 11/2022 → Present
    B.RIley Wealth Advisors
    Memphis, TN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-26
  • S66 Uniform Combined State Law Examination
    2022-10-26

View on SEC IAPD

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