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BARTON STUART GREENBERG
BART GREENBERG
CRD#: 2059230
IA
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B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 40 S. Main St.
Suite 1800
Memphis, TN 38103
Suite 1800
Memphis, TN 38103
B. RILEY WEALTH MANAGEMENTCRD#: 2543 40 S. Main St.
Suites 1600 & 1800
Memphis, TN 38103
Suites 1600 & 1800
Memphis, TN 38103
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Disclosures
32
Years of Experience
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State Registrations
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Tennessee 10/2/2014
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Tennessee 2/25/2022
SRO Registrations
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Registered with this firm since 2/25/2022
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Registered with this firm since 10/2/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2014 - 12/31/2022 | MEMPHIS, TN | |
B | 02/23/2022 - 07/22/2022 | BOCA RATON, FL | |
IA | 02/13/2013 - 03/07/2013 | MEMPHIS, TN | |
B | 02/13/2013 - 03/07/2013 | MEMPHIS, TN | |
IA | 03/15/2004 - 02/13/2013 | MEMPHIS, TN | |
B | 09/15/2003 - 02/13/2013 | MEMPHIS, TN | |
B | 12/11/2000 - 06/13/2002 | WEEHAWKEN, NJ | |
B | 05/24/1990 - 02/01/2001 | PURCHASE, NY |
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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.
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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.