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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2022-08-31
TX RA APPROVED 2022-08-31
  • NY RA
    APPROVED
    Since 2022-08-31
  • TX RA
    APPROVED
    Since 2022-08-31

Branch Locations

333 Glen Head Rd Suite 260, Glen Head, NY 11545 • 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
B. Riley Wealth Management Glen Cove NY 03/2007 08/2022
B. Riley Wealth Advisors, Inc. Memphis TN 07/2022 08/2022
Raymond James Financial Services, Inc. Glen Head NY 08/2022 Present
Raymond James Financial Services Advisors, Inc. Glen Head NY 08/2022 Present
Goldman Financial Services Glen Head NY 08/2022 Present
Previous Registrations
  • 2010-01-29 → 2022-09-07
    B. Riley Wealth Management
    Port Washington, NY
    Memphis, TN
    Glen Cove, NY
    Hartville, OH
  • 2022-08-08 → 2022-09-07
    Port Washington, NY
Other Businesses

(1)Name of Business: Goldman Financial Services Address: 8 Maple St Ste 7, Port Washington, NY, 11050-2963, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 08/30/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Providing full service financial advice and services to individual and corporate clients. (2)Name of Business: Goldman Financial Services Address: 333 Glen Head Rd Ste 260, Glen Head, NY, 11545-1960, United States Activity Type: Business Owner Position/Title: Officer - President Investment Related: No Start Date: 08/09/2005 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Providing financial services.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-13
S63 Uniform Securities Agent State Law Examination 1987-04-07
  • S66 Uniform Combined State Law Examination
    2007-12-13
  • S63 Uniform Securities Agent State Law Examination
    1987-04-07
Designations

View on SEC IAPD

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