GENE ALAN FRITZSCHE - Investment Adviser at B. RILEY WEALTH ADVISORS, INC.

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Detailed ReportReport

GENE ALAN FRITZSCHE

CRD#: 2141447

Investment Adviser

Broker

B. RILEY WEALTH ADVISORS, INC.CRD#: 115927

5885 Landerbrook Drive
Suite 304
Mayfield Heights, OH 44124

B. RILEY WEALTH MANAGEMENTCRD#: 2543

5885 Landerbrook Drive
Suite 304
Mayfield Heights, OH 44124

Disclosures

Disclosures

0 Disclosures

Registration History

License(s)

State Registrations

Florida 3/1/2007

Pennsylvania 3/1/2007

Ohio 3/1/2007

South Carolina 8/11/2015

Ohio 7/28/2022

SRO Registrations

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)

B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)

5885 Landerbrook Drive Suite 304, Mayfield Heights, OH 44124

Novelty, OH

Registered with this firm since 7/28/2022

B. RILEY WEALTH MANAGEMENT (CRD#:2543)

5885 Landerbrook Drive Suite 304, Mayfield Heights, OH 44124

Novelty, OH

Registered with this firm since 3/1/2007

Previous Registration(s)

th hidden text	th hidden text	Name	Location
IA	03/01/2007 - 12/31/2022	B RILEY WEALTH MANAGEMENT (CRD#:2543)	MEMPHIS, TN
IA	12/05/2005 - 03/01/2007	CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405)	MAYFIELD HEIGHTS, OH
B	11/11/2005 - 03/01/2007	CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405)	MAYFIELD HEIGHTS, OH
IA	11/10/1999 - 12/09/2005	ADVEST, INC. (CRD#:10)	BEACHWOOD, OH
B	04/30/1999 - 12/09/2005	ADVEST, INC. (CRD#:10)	HARTFORD, CT
B	11/01/1995 - 05/12/1999	PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471)	NEW YORK, NY
B	09/03/1993 - 11/14/1995	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)	NEW YORK, NY

B RILEY WEALTH MANAGEMENT (CRD#:2543)

MEMPHIS, TN

03/01/2007 - 12/31/2022

CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405)

MAYFIELD HEIGHTS, OH

12/05/2005 - 03/01/2007

CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405)

MAYFIELD HEIGHTS, OH

11/11/2005 - 03/01/2007

ADVEST, INC. (CRD#:10)

BEACHWOOD, OH

11/10/1999 - 12/09/2005

ADVEST, INC. (CRD#:10)

HARTFORD, CT

04/30/1999 - 12/09/2005

PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471)

NEW YORK, NY

11/01/1995 - 05/12/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)

NEW YORK, NY

09/03/1993 - 11/14/1995

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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.

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.