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40 S. Main St. Suite 1600, Memphis, TN 38103 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2023-04-04 |
Branch Locations
2-10 Broad St. Suite 203/303, Red Bank, NJ 07701 • United States
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 | 2012-01-13 |
Branch Locations
2-10 Broad St. Suite 203/303, Red Bank, NJ 07701 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Securities Corporation | Staten Island | NY | 05/2008 | 07/2022 |
| B. Riley Wealth Advisors | Red Bank | NJ | 01/2012 | Present |
| Winslow, Evans & Crocker, Inc. | Boston | MA | 01/2020 | 07/2022 |
| Winslow Financial, Inc. | Boston | MA | 01/2020 | 07/2022 |
| B.RIley Wealth Management, Inc. | Memphis | TN | 03/2021 | 07/2022 |
| B. Riley Wealth Management | Red Bank | NJ | 07/2022 | Present |
| B. Riley Securities, Inc | Arlington | VA | 04/2026 | Present |
1) THE BIOTECH GROUP ; INVESTMENT-RELATED; RED BANK, NJ; BRANCH BUSINESS EXPENSES; MANAGING MEMBER; START DATE: 04/2010; 10 HRS/MONTH, 0 DURING TRADING HOURS; I MANAGE MY BRANCH EXPENSES THROUGH MY LLC FOR ACCOUNTING PURPOSES... 2) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; RED BANK, NJ; CHAIRMAN, AGENT; INSURANCE SALES; START DATE: 05/2011; 10 HRS/MONTH, ALL DURING TRADING HOURS... 3) MULLEN GROUP PARTNERS, LLC; 3105 QUENTIN RD BROOKLYN, NY; CONSULTING & REAL ESTATE INVESTING; OWNER; 0 HRS/MONTH; NON INVESTMENT-RELATED; INACTIVE... 4) B. RILEY WEALTH TAX SERVICES; NON INVESTMENT-RELATED; SAME ADDRESS AS BRWM; BOARD OF DIRECTORS.... 5) NAM SPECIAL SITUATIONS MANAGMENT LLC; ENTITY SERVES AS THE INVESTMENT MANAGER OF NAM SPECIAL SITUATIONS FUNDS; MANAGING MEMBER; 2 HRS/MONTH, ALL DURING TRADING HRS; INVESTMENT RELATED.... 6) B. RILEY PRIVATE SHARES MANAGEMENT 2022-1, LLC; SAME ADDRESS AS B. RILEY WEALTH; INVESTMENT-RELATED; MEMBER; START DATE 06/2022; ENTITY SERVES AS THE MANAGER OF B. RILEY PRIVATE SHARES FUNDS; 2 HRS/MONTH, DURING TRADING HOURS... 7)B. RILEY WEALTH MANAGEMENT HOLDING, INC; INVESTMENT RELATED; 40 S. MAIN ST SUITE 1600 MEMPHIS TN 38103; CHIEF EXECUTIVE OFFICER; PARENT ENTITY OF ALL B. RILEY WEALTH ENTITIES; START DATE 4/2025; LESS THAN 1 HOUR/MONTH DEVOTED DURING SECURITIES TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-31 |
| S63 | Uniform Securities Agent State Law Examination | 1989-09-14 |
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