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Detailed Report
KIMBERLY ANNE FIGENBAUM
CRD#: 2395621
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 10 Post Office Square
Suite 600
Boston, MA 02109
B. RILEY WEALTH MANAGEMENTCRD#: 2543 10 Post Office Square
Suite 600
Boston, MA 02109
Registration History
19952000200520102015202020252 FIRMS2002 - 2009 (6 years)2 FIRMS2009 - 2021 (12 years)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2021 - Present (4 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (2 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2021 - 2022 (1 year)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)1993 - 2002 (9 years)IABURNS & LEVINSON ASSET MANAGEMENT (CRD# 108191)2012 - 2014 (2 years)IASTRATEGIC ADVISERS INC. (CRD# 104555)2002 - 2002 (<1 year)
License(s)

State Registrations

B
Arizona 7/22/2022
B
Michigan 7/22/2022
B
California 7/22/2022
B
Missouri 9/14/2023
B
Connecticut 7/22/2022
B
New Hampshire 7/22/2022
B
Delaware 1/4/2024
B
New Jersey 11/20/2024
B
Florida 7/22/2022
B
New York 7/22/2022
B
Georgia 4/24/2024
B
North Carolina 2/14/2024
B
Hawaii 7/22/2022
B
Ohio 7/22/2022
B
Idaho 1/17/2024
B
Oklahoma 7/22/2022
B
Illinois 1/31/2024
B
Pennsylvania 7/22/2022
B
Kansas 5/22/2024
B
Rhode Island 7/22/2022
B
Kentucky 11/20/2024
B
South Carolina 10/19/2022
B
Maryland 7/22/2022
B
Vermont 7/22/2022
IA
Massachusetts 3/24/2021
B
Virginia 7/22/2022
B
Massachusetts 7/22/2022
B
Washington 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)
10 Post Office Square Suite 600, Boston, MA 02109
Registered with this firm since 3/24/2021
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
10 Post Office Square Suite 600, Boston, MA 02109
Registered with this firm since 7/22/2022
Previous Registration(s)
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B
 03/19/2021 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOSTON, MA
IA
 03/30/2009 - 04/13/2021 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
B
 03/27/2009 - 04/13/2021 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
IA
 02/15/2012 - 04/08/2014 BURNS & LEVINSON ASSET MANAGEMENT (CRD#:108191) BOSTON, MA
IA
 09/16/2002 - 03/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) QUINCY, MA
B
 09/16/2002 - 03/30/2009 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) QUINCY, MA
IA
 04/27/2002 - 09/11/2002 STRATEGIC ADVISERS INC. (CRD#:104555) BOSTON, MA
B
 09/08/1993 - 09/10/2002 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) SMITHFIELD, RI
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.