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Registration History
199019952000200520102015202020252 FIRMS1987 - 2011 (24 years)2 FIRMS2011 - 2021 (9 years)2 FIRMS2024 - Present (<1 year)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2021 - 2024 (3 years)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - 2024 (1 year)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2021 - 2022 (1 year)
Disclosure(s)
View By:
10/18/2024
Judgment / Lien
1/5/2004
Customer Dispute
Settled
License(s)

State Registrations

B
California 4/18/2024

IA
New York 4/18/2024

B
Florida 4/18/2024

B
New York 5/12/2024

IA
Florida 5/13/2024

B
Texas 4/18/2024

B
Hawaii 6/20/2024

IA
Texas 4/18/2024

B
Illinois 6/27/2024

SRO Registrations

B
FINRA

B
NYSE Arca, Inc.

B
Nasdaq Stock Market

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
AEGIS CAPITAL CORP. (CRD#:15007)
Dallas, TX
Registered with this firm since 4/18/2024

B
AEGIS CAPITAL CORP. (CRD#:15007)
Dallas, TX
Registered with this firm since 4/18/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/28/2022 - 04/12/2024 B. RILEY WEALTH ADVISORS, INC. (CRD#:115927) Dallas, TX
B
04/21/2021 - 04/12/2024 B. RILEY WEALTH MANAGEMENT (CRD#:2543) Dallas, TX
IA
04/21/2021 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) Dallas, TX
IA
11/21/2011 - 05/10/2021 MORGAN STANLEY (CRD#:149777) Dallas, TX
B
11/21/2011 - 05/10/2021 MORGAN STANLEY (CRD#:149777) Dallas, TX
IA
07/21/1987 - 11/23/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
B
06/26/1987 - 11/23/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) DALLAS, TX
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Broker
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Investment Adviser
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.