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Detailed Report
DALE ENRIGHT SMITH
DALE SMITH
CRD#: 1070779
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 5000 T-REX AVENUE
SUITE 300
BOCA RATON, FL 33431
B. RILEY WEALTH MANAGEMENTCRD#: 2543 5000 T-Rex Avenue
Suite 300
Boca Raton, FL 33431
Registration History
199019952000200520102015202020252 FIRMS1997 - 1997 (<1 year)2 FIRMS2006 - 2007 (1 year)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2014 - Present (10 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (3 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2013 - 2022 (8 years)BVFINANCE INVESTMENTS, INC (CRD# 44962)2016 - 2017 (1 year)BDAWSON JAMES SECURITIES, INC. (CRD# 130645)2010 - 2013 (2 years)BVFINANCE INVESTMENTS, INC (CRD# 44962)2010 - 2010 (<1 year)BJHS CAPITAL ADVISORS, INC. (CRD# 112097)2006 - 2010 (4 years)BNORTH AMERICAN CLEARING, INC. (CRD# 39118)2005 - 2006 (1 year)BDOMESTIC SECURITIES, INC. (CRD# 34721)2002 - 2004 (2 years)BON-LINE INVESTMENT SERVICES, INC. (CRD# 36816)2000 - 2000 (<1 year)BSCHONFELD SECURITIES, LLC (CRD# 23304)1998 - 2000 (1 year)BNAVILLUS SECURITIES, INC. (CRD# 31230)1998 - 1998 (<1 year)BON-SITE TRADING, INC. (CRD# 30271)1997 - 1998 (1 year)BSCHONFELD SECURITIES INC. (CRD# 23304)1992 - 1995 (2 years)BOLDE DISCOUNT CORPORATION (CRD# 5979)1990 - 1991 (<1 year)BTHE STUART-JAMES COMPANY, INCO... (CRD# 11691)1989 - 1990 (<1 year)
License(s)

State Registrations

IA
Florida 8/18/2014
B
Florida 2/25/2022

SRO Registrations

B
 FINRA

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)
5000 T-REX AVENUE SUITE 300, BOCA RATON, FL 33431
Registered with this firm since 8/18/2014
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
5000 T-Rex Avenue Suite 300, Boca Raton, FL 33431
Registered with this firm since 2/25/2022
Previous Registration(s)
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B
 12/18/2013 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
B
 07/11/2016 - 12/19/2017 VFINANCE INVESTMENTS, INC (CRD#:44962) BOCA RATON, FL
B
 12/17/2010 - 06/03/2013 DAWSON JAMES SECURITIES, INC. (CRD#:130645) BOCA RATON, FL
B
 07/02/2010 - 12/23/2010 VFINANCE INVESTMENTS, INC (CRD#:44962) BOCA RATON, FL
B
 03/06/2006 - 06/23/2010 JHS CAPITAL ADVISORS, INC. (CRD#:112097) BOCA RATON, FL
B
 05/02/2006 - 07/31/2007 POINTE ATLANTIC (CRD#:46599) BOCA RATON, FL
B
 11/30/2006 - 01/03/2007 GREAT EASTERN SECURITIES, INC. (CRD#:2061) NEW YORK, NY
B
 01/28/2005 - 03/06/2006 NORTH AMERICAN CLEARING, INC. (CRD#:39118)
FINRA expelled the firm on 03/17/2009
LONGWOOD, FL
B
 03/22/2002 - 10/06/2004 DOMESTIC SECURITIES, INC. (CRD#:34721)
FINRA expelled the firm on 10/14/2011
MONTVALE, NJ
B
 09/01/2000 - 09/25/2000 ON-LINE INVESTMENT SERVICES, INC. (CRD#:36816)
FINRA expelled the firm on 11/26/2012
NEW YORK, NY
B
 11/02/1998 - 02/14/2000 SCHONFELD SECURITIES, LLC (CRD#:23304) JERICHO, NY
B
 09/18/1998 - 11/16/1998 NAVILLUS SECURITIES, INC. (CRD#:31230) WEST CONSHOHOCKEN, PA
B
 02/27/1997 - 07/30/1998 ON-SITE TRADING, INC. (CRD#:30271) GREAT NECK, NY
B
 01/14/1997 - 02/18/1997 MAJOR LEAGUE SECURITIES, INC. (CRD#:32211) JERICHO, NY
B
 01/13/1997 - 02/12/1997 SCHONFELD SECURITIES INC. (CRD#:23304) JERICHO, NY
B
 07/16/1992 - 02/15/1995 SCHONFELD SECURITIES INC. (CRD#:23304) JERICHO, NY
B
 08/14/1990 - 06/21/1991 OLDE DISCOUNT CORPORATION (CRD#:5979) DETROIT, MI
B
 10/25/1989 - 05/22/1990 THE STUART-JAMES COMPANY, INCORPORATED (CRD#:11691) DENVER, CO
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.