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MARC LOWLICHT
CRD#: 1848642
IA
B
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 11 GAY ROAD
EAST HAMPTON, NY 11937
EAST HAMPTON, NY 11937
B. RILEY WEALTH MANAGEMENTCRD#: 2543 11 Gay Road
East Hampton, NY 11937
East Hampton, NY 11937
View By:
6/25/2002
Customer Dispute
Denied
State Registrations
B
Arizona 7/22/2022
B
Nevada 7/22/2022
B
California 7/22/2022
B
New Hampshire 7/22/2022
B
Colorado 7/22/2022
B
New Jersey 7/22/2022
B
Connecticut 7/22/2022
B
New Mexico 7/22/2022
B
Delaware 7/22/2022
IA
New York 6/23/2021
B
District of Columbia 7/22/2022
B
New York 7/22/2022
B
Florida 7/22/2022
B
North Carolina 7/22/2022
B
Georgia 7/22/2022
B
Ohio 7/22/2022
B
Hawaii 7/22/2022
B
Oklahoma 7/22/2022
B
Illinois 7/22/2022
B
Pennsylvania 7/22/2022
B
Kentucky 7/22/2022
B
South Carolina 7/22/2022
B
Maine 7/22/2022
B
Texas 7/22/2022
B
Maryland 7/22/2022
B
Utah 7/22/2022
B
Massachusetts 7/22/2022
B
Vermont 7/22/2022
B
Michigan 7/22/2022
B
Virginia 7/22/2022
B
Minnesota 7/22/2022
B
Washington 7/22/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 12/3/2013
B
Registered with this firm since 7/22/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/03/2013 - 07/22/2022 | EAST HAMPTON, NY | |
IA | 11/05/2012 - 12/04/2013 | NEW YORK, NY | |
B | 04/20/2005 - 12/04/2013 | EAST HAMPTON, NY | |
B | 05/04/2001 - 04/21/2005 | ST. LOUIS, MO | |
B | 07/19/1999 - 05/18/2001 | PHILADELPHIA, PA | |
B | 01/21/1993 - 10/12/1999 | SOUTHOLD, NY | |
B | 08/08/1991 - 01/01/1993 | NEW YORK, NY | |
B | 12/19/1989 - 08/21/1991 | NEW YORK, NY |
NEW YORK, NY
11/05/2012 - 12/04/2013
EAST HAMPTON, NY
04/20/2005 - 12/04/2013
SOUTHOLD, NY
01/21/1993 - 10/12/1999
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.