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Detailed Report
SURAJ ARUN JOSHI
CRD#: 2363952
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 Bellevue, WA
B. RILEY WEALTH MANAGEMENTCRD#: 2543 Bellevue, WA
Registration History
1995200020052010201520202025IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2023 - Present (1 year)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (2 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2005 - 2022 (16 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)1997 - 2005 (8 years)BSMITH BARNEY INC. (CRD# 7059)1994 - 1997 (3 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)1993 - 1993 (<1 year)IANATIONAL ASSET MANAGEMENT, INC. (CRD# 115927)2006 - 2018 (12 years)
License(s)

State Registrations

B
California 7/22/2022
B
New York 7/22/2022
B
Connecticut 7/22/2022
B
Washington 7/22/2022
B
Florida 7/22/2022
IA
Washington 9/4/2023
B
Massachusetts 7/22/2022

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)
Bellevue, WA
Registered with this firm since 9/4/2023
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
Bellevue, WA
Registered with this firm since 7/22/2022
Previous Registration(s)
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B
 09/30/2005 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) SEATTLE, WA
IA
 02/10/2006 - 05/29/2018 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) SEATTLE, WA
B
 07/21/1997 - 10/10/2005 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
B
 03/01/1994 - 07/29/1997 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 08/02/1993 - 11/09/1993 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOCA RATON, FL
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.