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Detailed Report
MICHAEL MAHER
MICHAEL S MAHER, MICHAEL Sean MAHER
CRD#: 1626838
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 136 Mill Road
Suite A
Quakertown, PA 18951
B. RILEY WEALTH MANAGEMENTCRD#: 2543 136 Mill Road
Suite A
Quakertown, PA 18951
Registration History
199019952000200520102015202020252 FIRMS2009 - 2016 (6 years)2 FIRMS2016 - 2022 (5 years)2 FIRMS2022 - Present (2 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2005 - 2009 (4 years)BLEGG MASON WOOD WALKER, INCORP... (CRD# 6555)1996 - 2005 (9 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1987 - 1996 (9 years)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - 2022 (<1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2009 (3 years)
Disclosure(s)
View By:
12/3/2001
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 2/13/2024
B
New York 2/28/2022
B
California 2/28/2022
B
North Carolina 2/28/2022
B
Colorado 2/28/2022
B
Oklahoma 2/28/2022
B
Delaware 2/28/2022
B
Pennsylvania 2/28/2022
B
Florida 2/28/2022
IA
Pennsylvania 8/10/2022
B
Georgia 2/28/2022
B
South Carolina 2/28/2022
B
Illinois 2/28/2022
B
Texas 2/28/2022
B
Maine 2/28/2022
B
Virginia 2/28/2022
B
Maryland 2/28/2022
B
Washington 2/28/2022
B
Nevada 11/28/2022
B
West Virginia 2/28/2022
B
New Jersey 2/28/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)
136 Mill Road Suite A, Quakertown, PA 18951
Registered with this firm since 8/10/2022
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
136 Mill Road Suite A, Quakertown, PA 18951
Registered with this firm since 2/28/2022
Previous Registration(s)
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IA
 02/28/2022 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) Bryn Mawr, PA
IA
 04/15/2016 - 03/02/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Center Valley, PA
B
 04/15/2016 - 03/02/2022 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Center Valley, PA
IA
 09/25/2009 - 04/22/2016 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CENTER VALLEY, PA
B
 09/25/2009 - 04/22/2016 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CENTER VALLEY, PA
IA
 01/05/2006 - 09/25/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) BETHLEHEM, PA
B
 08/26/2005 - 09/25/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) BETHLEHEM, PA
B
 09/10/1996 - 09/02/2005 LEGG MASON WOOD WALKER, INCORPORATED (CRD#:6555) BALTIMORE, MD
B
 02/26/1987 - 09/13/1996 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.