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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-11-21 |
| NY | RA | APPROVED | 2022-08-09 |
| TX | RA | APPROVED | 2022-08-09 |
Branch Locations
299 Park Avenue 21St Floor, New York, NY 10171 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Ubs Financial Services Inc | New York | NY | 11/2013 | 09/2021 |
| B. Riley Wealth Management | New York | NY | 09/2021 | Present |
| B. Riley Wealth Advisors | Memphis | TN | 07/2022 | Present |
1. Strategic Family Capital, Investment Related, 299 Park Avenue, 21st Floor, New York, NY 10171, Marketing name for financial securities business conducted through B. Riley Wealth Management; start date12/2021. 40 hrs / week devoted during securities trading hrs. 2. BellaWolf Records LLC; Non investment related; 67 Burnside Ave East Hartford, CT 06108-3408; Music business, wife is a singer; Part owner; The entity was set up for wife's music business to organize accounting for tax purposes; Start date 5/22/2023; 0 hrs devoted. 3. Point of Contact for Referrals; Investment related; 10 Wicks End Lane Wilton, CT 06897; Provide referral to M&A / IB companies unrelated to BRWM; Point of contact; Start date 12/2024; 2 hrs / week devoted during securities trading hrs. 4. B. Riley Wealth Insurance; Investment related; Same address as BRWM; Fixed insurance; agent; Start date 2/2025; 4 hrs/month devoted during securities trading hrs.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-09-04 |
| S63 | Uniform Securities Agent State Law Examination | 2002-09-14 |
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