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Detailed Report
RACHEL STEPHENS
RACHEL HORNICK
CRD#: 5918354
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 1330 Post Oak Boulevard
Suite 900
Houston, TX 77056
Registration History
201220142016201820202022202420262 FIRMS2023 - Present (1 year)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2014 - 2023 (9 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2012 - 2013 (<1 year)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - 2023 (<1 year)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2014 - 2022 (8 years)
License(s)

State Registrations

B
Alabama 6/12/2023
B
Missouri 6/12/2023
B
Alaska 1/27/2025
B
Montana 6/12/2023
B
Arizona 6/12/2023
B
Nevada 6/12/2023
B
Arkansas 6/12/2023
B
New Hampshire 6/12/2023
B
California 6/12/2023
B
New Jersey 6/12/2023
B
Colorado 6/12/2023
B
New Mexico 6/12/2023
B
Connecticut 6/12/2023
B
New York 6/12/2023
B
Delaware 6/12/2023
B
North Carolina 6/12/2023
B
District of Columbia 6/12/2023
B
Ohio 6/12/2023
B
Florida 6/12/2023
B
Oklahoma 6/12/2023
B
Georgia 6/12/2023
B
Oregon 6/12/2023
B
Hawaii 6/12/2023
B
Pennsylvania 6/12/2023
B
Idaho 6/12/2023
B
South Carolina 6/12/2023
B
Illinois 6/12/2023
B
Tennessee 6/12/2023
B
Indiana 6/12/2023
B
Texas 6/12/2023
B
Kansas 6/12/2023
IA
Texas 6/12/2023
B
Kentucky 6/12/2023
B
Utah 6/12/2023
B
Louisiana 6/12/2023
B
Vermont 6/12/2023
B
Maine 6/12/2023
B
Virginia 6/12/2023
B
Maryland 6/12/2023
B
Washington 6/12/2023
B
Massachusetts 6/12/2023
B
West Virginia 6/12/2023
B
Michigan 6/12/2023
B
Wisconsin 6/12/2023
B
Minnesota 6/12/2023
B
Wyoming 6/12/2023
B
Mississippi 6/12/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MORGAN STANLEY (CRD#:149777)
1330 Post Oak Boulevard Suite 900, Houston, TX 77056
Registered with this firm since 6/12/2023
B
MORGAN STANLEY (CRD#:149777)
1330 Post Oak Boulevard Suite 900, Houston, TX 77056
Registered with this firm since 6/12/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 08/25/2022 - 05/23/2023 B. RILEY WEALTH ADVISORS, INC. (CRD#:115927) Houston, TX
B
 01/27/2014 - 05/23/2023 B. RILEY WEALTH MANAGEMENT (CRD#:2543) Houston, TX
IA
 09/25/2014 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) Houston, TX
B
 11/28/2012 - 05/20/2013 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
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.