Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
ROBERT THEODORE RUNNFELDT JR
CRD#: 1949914
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 150 N. Riverside Plaza
Suite 2800
Chicago, IL 60606
B. RILEY WEALTH MANAGEMENTCRD#: 2543 150 N. Riverside Plaza
Suite 2800
Chicago, IL 60606
Registration History
19901995200020052010201520202025IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - Present (2 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2020 - Present (4 years)BSANCTUARY SECURITIES, INC. (CRD# 205)2009 - 2020 (11 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1995 - 2009 (14 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1995 (1 year)BLEHMAN BROTHERS INC. (CRD# 7506)1989 - 1993 (4 years)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2020 - 2022 (2 years)IASANCTUARY ADVISORS, LLC (CRD# 226606)2015 - 2020 (5 years)IADAVID A. NOYES & COMPANY (CRD# 205)2009 - 2015 (6 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2006 - 2009 (2 years)
Disclosure(s)
View By:
5/21/2009
Customer Dispute
Settled
4/22/2002
Customer Dispute
Settled
9/13/2001
Customer Dispute
Denied
1/12/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 9/18/2020
B
Minnesota 9/18/2020
B
California 9/18/2020
B
Mississippi 8/26/2024
B
Colorado 9/23/2020
B
Nevada 9/18/2020
B
Delaware 9/24/2020
B
New York 9/18/2020
B
Florida 9/18/2020
B
Ohio 9/18/2020
B
Idaho 9/18/2020
B
Tennessee 1/11/2024
B
Illinois 9/23/2020
B
Texas 9/18/2020
IA
Illinois 8/1/2022
IA
Texas 7/28/2022
B
Indiana 9/24/2020
B
Washington 9/18/2020
B
Kentucky 9/18/2020
B
Wisconsin 9/18/2020
B
Massachusetts 12/7/2021

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)
150 N. Riverside Plaza Suite 2800, Chicago, IL 60606
Northbrook, IL
Registered with this firm since 7/28/2022
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
150 N. Riverside Plaza Suite 2800, Chicago, IL 60606
Northbrook, IL
Registered with this firm since 9/18/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/18/2020 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) MEMPHIS, TN
IA
 08/11/2015 - 09/18/2020 SANCTUARY ADVISORS, LLC (CRD#:226606) CHICAGO, IL
B
 05/08/2009 - 09/18/2020 SANCTUARY SECURITIES, INC. (CRD#:205) CHICAGO, IL
IA
 05/08/2009 - 08/11/2015 DAVID A. NOYES & COMPANY (CRD#:205) CHICAGO, IL
IA
 09/19/2006 - 05/11/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
 05/12/1995 - 05/11/2009 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
 07/31/1993 - 05/22/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 05/23/1989 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) 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.