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Investment Adviser Firm Summary

B RILEY WEALTH MANAGEMENT, INC. (CRD# 2543 / SEC# 8-31206, 801-67275)
Alternate Names: B RILEY WEALTH , B RILEY WEALTH MANAGEMENT , B RILEY WEALTH MANAGEMENT, INC. , B. RILEY WEALTH , B. RILEY WEALTH MANAGEMENT , B. RILEY WEALTH MANAGEMENT, INC. , CAPITAL SECURITIES OF AMERICA , DOMINICK & DOMINICK , DOMINICK AND DOMINICK , FUNDAMENTAL BROKERS INTER-DEALER , FUNDAMENTAL CAPITAL MARKETS , WUNDERLICH , WUNDERLICH SECURITIES , WUNDERLICH SECURITIES, INC. , WUNDERLICH WEALTH MANAGEMENT , WUNTRADE

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/05/2007
Arizona Terminated 02/07/2007
Arkansas Terminated 02/07/2007
Colorado Terminated 12/17/2003
District of Columbia Terminated 12/08/2003
Florida Terminated 02/07/2007
Indiana Terminated 02/07/2007
Louisiana Terminated 02/09/2009
Maryland Terminated 12/08/2003
Mississippi Terminated 02/07/2007
New Jersey Terminated 02/07/2007
New York Cancelled 01/06/2006
North Carolina Terminated 02/07/2007
Ohio Terminated 02/07/2007
Rhode Island Terminated 02/07/2007
Tennessee Terminated 03/09/2007
Texas Terminated 02/07/2007
Vermont Terminated 09/13/2002
Wisconsin Terminated 02/07/2007

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 11/13/2007
Alaska 10/06/2009
Arizona 02/05/2007
Arkansas 02/06/2007
California 02/05/2007
Colorado 02/05/2007
Connecticut 04/08/2009
Delaware 04/23/2009
District of Columbia 04/08/2009
Florida 02/05/2007
Georgia 02/05/2007
Hawaii 10/06/2009
Idaho 04/08/2009
Illinois 02/05/2007
Indiana 02/05/2007
Iowa 04/09/2009
Kansas 04/08/2009
Kentucky 02/05/2007
Louisiana 02/05/2007
Maine 04/08/2009
Maryland 04/08/2009
Massachusetts 04/08/2009
Michigan 10/06/2009
Minnesota 12/01/2007
Mississippi 02/05/2007
Missouri 02/05/2007
Montana 08/14/2015
Nebraska 08/01/2014
Nevada 02/05/2007
New Hampshire 04/08/2009
New Jersey 02/21/2007
New Mexico 08/14/2015
New York 02/05/2007
North Carolina 02/05/2007
North Dakota 08/14/2015
Ohio 02/05/2007
Oklahoma 04/08/2009
Oregon 02/05/2007
Pennsylvania 02/05/2007
Puerto Rico 09/27/2018
Rhode Island 02/05/2007
South Carolina 04/08/2009
South Dakota 10/07/2009
Tennessee 02/05/2007
Texas 02/05/2007
Utah 08/14/2015
Vermont 08/14/2015
Virgin Islands 03/25/2010
Virginia 05/23/2007
Washington 04/08/2009
West Virginia 02/05/2007
Wisconsin 02/05/2007
Wyoming 09/27/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser