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Detailed Report
GARRETT JOSEPH SMOKE
CRD#: 2969126
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 Orlando, FL
B. RILEY WEALTH MANAGEMENTCRD#: 2543 Orlando, FL
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2006 (5 years)2 FIRMS2006 - 2007 (<1 year)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - Present (2 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2007 - Present (18 years)BJWGENESIS FINANCIAL GROUP, INC (CRD# 38166)1999 - 2001 (2 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1998 - 1999 (1 year)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2007 - 2022 (15 years)
Disclosure(s)
View By:
12/18/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 7/23/2019
B
Nevada 2/23/2015
B
California 3/1/2007
B
New York 8/11/2014
B
Colorado 3/30/2007
B
North Carolina 3/8/2013
B
Florida 3/1/2007
B
Pennsylvania 11/27/2023
IA
Florida 8/26/2022
B
Rhode Island 4/23/2018
B
Georgia 3/1/2007
B
Texas 4/18/2016
B
Illinois 9/30/2016
IA
Texas 8/9/2022
B
Kansas 2/24/2014
B
Virginia 3/15/2011
B
Michigan 1/20/2021
B
Washington 3/1/2007
B
Missouri 6/30/2022

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)
Orlando, FL
Registered with this firm since 8/9/2022
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
Orlando, FL
Registered with this firm since 3/1/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2007 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) ORLANDO, FL
IA
 07/31/2006 - 03/01/2007 CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405) ORLANDO, FL
B
 07/28/2006 - 03/01/2007 CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405) HARTVILLE, OH
IA
 01/02/2001 - 07/31/2006 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) ORLANDO, FL
B
 01/02/2001 - 07/31/2006 WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (CRD#:11025) ORLANDO, FL
B
 01/04/1999 - 01/02/2001 JWGENESIS FINANCIAL GROUP, INC (CRD#:38166) BOCA RATON, FL
B
 01/05/1998 - 01/04/1999 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
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.