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Detailed Report
Kristen Marie Frisby
CRD#: 6448493
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 40 S. Main St.
Suite 1800
Memphis, TN 38103
B. RILEY WEALTH MANAGEMENTCRD#: 2543 40 S. Main St.
Suites 1600 & 1800
Memphis, TN 38103
Registration History
20162017201820192020202120222023202420252026IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - Present (2 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2020 - Present (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2016 - 2018 (2 years)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2020 - 2022 (2 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - 2018 (1 year)
License(s)

State Registrations

B
Tennessee 2/19/2020
IA
Tennessee 8/26/2022

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)
40 S. Main St. Suite 1800, Memphis, TN 38103
Memphis, TN
Registered with this firm since 8/26/2022
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
40 S. Main St. Suites 1600 & 1800, Memphis, TN 38103
Memphis, TN
Registered with this firm since 2/18/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/18/2020 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) MEMPHIS, TN
IA
 02/14/2017 - 09/28/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) MEMPHIS, TN
B
 04/05/2016 - 09/28/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) MEMPHIS, TN
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.