Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
SUSAN LEMIEUX
SUE LEMIEUX, SUSAN LEMIEVX
CRD#: 4021364
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 59 FINLAY ROAD
BOX 2806
ORLEANS, MA 02653
B. RILEY WEALTH MANAGEMENTCRD#: 2543 59 FINLAY ROAD
BOX 2806
ORLEANS, MA 02653
Registration History
2014201520162017201820192020202120222023202420252026IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2015 - Present (9 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (2 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2014 - 2022 (8 years)
License(s)

State Registrations

B
Alabama 7/22/2022
B
Nevada 7/22/2022
B
Alaska 7/22/2022
B
New Hampshire 7/22/2022
B
Arizona 7/22/2022
B
New Jersey 7/22/2022
B
California 7/22/2022
B
New York 7/22/2022
B
Colorado 7/22/2022
B
North Carolina 7/22/2022
B
Connecticut 7/22/2022
B
Ohio 7/22/2022
B
Delaware 7/22/2022
B
Oregon 7/22/2022
B
Florida 7/22/2022
B
Pennsylvania 7/22/2022
B
Georgia 7/22/2022
B
Rhode Island 7/22/2022
B
Illinois 7/22/2022
B
South Carolina 7/22/2022
B
Indiana 7/22/2022
B
Texas 5/16/2024
B
Maine 3/15/2023
B
Vermont 2/16/2023
IA
Massachusetts 10/5/2015
B
Virginia 7/22/2022
B
Massachusetts 7/22/2022
B
Washington 7/22/2022
B
Michigan 5/1/2023
B
Wisconsin 7/22/2022
B
Montana 7/22/2022
B
Wyoming 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)
59 FINLAY ROAD BOX 2806, ORLEANS, MA 02653
Registered with this firm since 10/5/2015
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
59 FINLAY ROAD BOX 2806, ORLEANS, MA 02653
Registered with this firm since 7/22/2022
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 03/21/2014 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) ORLEANS, MA
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.