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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-23 |
| NJ | RA | APPROVED | 2018-07-24 |
Branch Locations
299 Park Ave. 21St Floor, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morgan Stanley Distribution, Inc. | New York | NY | 10/2013 | 06/2017 |
| National Securities Corporation | New York | NY | 07/2018 | 07/2022 |
| National Asset Management | New York | NY | 07/2018 | 07/2022 |
| Unemployed | West Orange | NJ | 06/2017 | 07/2018 |
| B. Riley Wealth Management | Memphis | TN | 07/2022 | Present |
| B. Riley Wealth Advisors, Inc | Memphis | TN | 07/2022 | Present |
1. GLOBAL ASSET BACKED OPPORTUNITIES LP, FIXED INCOME INVESTMENT PORTFOLIO, LIMITED PARTNER, PASSIVE INVESTOR, CHICAGO IL START 2014, ZERO HRS PER MONTH 2. B. RILEY WEALTH INSURANCE,INVESTMENT RELATED; FIXED INSURANCE, REPRESENTATIVE, NEW YORK, NY, 10 HRS. PER MONTH, ZERO DURING TRADING HRS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2010-08-17 |
| S65 | Uniform Investment Adviser Law Examination | 1997-03-21 |
| S63 | Uniform Securities Agent State Law Examination | 1987-07-16 |
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