Individual Firm
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JAMES STEVE SIMOS II
JAMES STEVE SIMOS
CRD#: 4530868
IA
B
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 Tracy, CA
B. RILEY WEALTH MANAGEMENTCRD#: 2543 Tracy, CA
0
Disclosures
22
Years of Experience
View By:
State Registrations
B
Arizona 7/22/2022
B
Oregon 7/22/2022
IA
California 5/14/2018
B
Texas 7/22/2022
B
California 7/22/2022
B
Utah 7/22/2022
B
Colorado 7/22/2022
B
Virginia 7/22/2022
B
Hawaii 10/14/2022
B
Washington 7/22/2022
B
Minnesota 7/22/2022
SRO Registrations
B
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B
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 05/14/2018 - 07/22/2022 | TRACY, CA | |
IA | 03/24/2008 - 05/11/2018 | Oakland, CA | |
B | 11/14/2007 - 05/11/2018 | Oakland, CA | |
IA | 06/20/2006 - 12/19/2008 | OAKLAND, CA | |
IA | 09/17/2004 - 05/13/2008 | OAKLAND, CA | |
B | 09/17/2004 - 05/13/2008 | OAKLAND, CA | |
IA | 09/02/2002 - 09/21/2004 | CASTRO VALLEY, CA | |
B | 06/21/2002 - 09/21/2004 | NEW YORK, NY |
OAKLAND, CA
06/20/2006 - 12/19/2008
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.