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Detailed Report
SPENCER HOWARD LARSON
CRD#: 816737
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 Dennis, MA
B. RILEY WEALTH MANAGEMENTCRD#: 2543 Dennis, MA
Registration History
19801985199019952000200520102015202020252 FIRMS1990 - 1990 (<1 year)2 FIRMS2007 - 2020 (13 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2022 - Present (2 years)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2020 - Present (4 years)BNATIONAL SECURITIES CORPORATION (CRD# 7569)2020 - 2022 (1 year)BWINSLOW, EVANS & CROCKER, INC. (CRD# 29686)2004 - 2007 (2 years)BMOORS & CABOT, INC. (CRD# 594)2001 - 2004 (3 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)1998 - 2001 (3 years)BWINSLOW, EVANS & CROCKER, INC. (CRD# 29686)1994 - 1998 (3 years)BMOORS & CABOT, INC. (CRD# 594)1990 - 1994 (4 years)BJ. T. MORAN & CO., INC. (CRD# 15655)1988 - 1990 (1 year)BMOORE & SCHLEY, CAMERON & CO. (CRD# 6917)1989 - 1990 (<1 year)BNORTH AMERICAN INVESTMENT CORP. (CRD# 7568)1987 - 1988 (1 year)BDREXEL BURNHAM LAMBERT INCORPO... (CRD# 7323)1985 - 1987 (2 years)BROONEY, PACE INC. (CRD# 6218)1984 - 1985 (<1 year)BJEFFERIES & COMPANY, INC. (CRD# 2347)1982 - 1984 (2 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1978 - 1982 (3 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1978 - 1978 (<1 year)BKIDDER, PEABODY & CO., INCORPO... (CRD# 488)1976 - 1978 (2 years)IAWINSLOW, EVANS & CROCKER, INC. (CRD# 29686)2005 - 2007 (1 year)
License(s)

State Registrations

B
Arkansas 5/28/2024
B
New Hampshire 7/22/2022
B
California 7/22/2022
B
New Jersey 7/22/2022
B
Connecticut 7/22/2022
B
New York 7/22/2022
B
Florida 7/22/2022
B
Rhode Island 7/22/2022
B
Maine 7/22/2022
B
Vermont 7/22/2022
IA
Massachusetts 8/31/2020
B
Virginia 1/28/2025
B
Massachusetts 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)
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
Dennis, MA
Registered with this firm since 7/22/2022
IA
B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)
Dennis, MA
Registered with this firm since 8/31/2020
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 08/26/2020 - 07/22/2022 NATIONAL SECURITIES CORPORATION (CRD#:7569) BOSTON, MA
IA
 08/02/2007 - 09/01/2020 MOORS & CABOT, INC (CRD#:594) BOSTON, MA
B
 08/01/2007 - 09/01/2020 MOORS & CABOT, INC. (CRD#:594) BOSTON, MA
IA
 09/29/2005 - 08/01/2007 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
B
 10/25/2004 - 08/01/2007 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
B
 10/15/2001 - 10/25/2004 MOORS & CABOT, INC. (CRD#:594) BOSTON, MA
B
 07/08/1998 - 10/18/2001 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PHILADELPHIA, PA
B
 11/17/1994 - 07/17/1998 WINSLOW, EVANS & CROCKER, INC. (CRD#:29686) BOSTON, MA
B
 08/07/1990 - 11/14/1994 MOORS & CABOT, INC. (CRD#:594) BOSTON, MA
B
 02/09/1990 - 07/30/1990 W. H. NEWBOLD'S SON & CO./HOPPER SOLIDAY & CO., INC. (CRD#:7575)
B
 01/02/1990 - 02/16/1990 HANIFEN, IMHOFF SECURITIES CORP. (CRD#:10620)
B
 05/31/1988 - 02/10/1990 J. T. MORAN & CO., INC. (CRD#:15655)
B
 08/19/1989 - 01/02/1990 MOORE & SCHLEY, CAMERON & CO. (CRD#:6917)
B
 06/30/1987 - 06/18/1988 NORTH AMERICAN INVESTMENT CORP. (CRD#:7568)
B
 05/01/1985 - 06/19/1987 DREXEL BURNHAM LAMBERT INCORPORATED (CRD#:7323)
B
 09/05/1984 - 01/31/1985 ROONEY, PACE INC. (CRD#:6218)
FINRA expelled the firm on 10/31/1988
B
 06/29/1982 - 08/10/1984 JEFFERIES & COMPANY, INC. (CRD#:2347)
B
 10/24/1978 - 06/17/1982 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
B
 05/19/1978 - 11/10/1978 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613)
B
 01/02/1976 - 05/19/1978 KIDDER, PEABODY & CO., INCORPORATED (CRD#:488)
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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
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.