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ROBERT MORTIMER
ROBERT THOMAS MORTIMER JR, ROBERT MORTIMER JR.
CRD#: 824783
IA
B
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 150 N. Riverside Plaza
Suite 2800
Chicago, IL 60606
Suite 2800
Chicago, IL 60606
B. RILEY WEALTH MANAGEMENTCRD#: 2543 150 N. Riverside Plaza
Suite 2800
Chicago, IL 60606
Suite 2800
Chicago, IL 60606
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6/9/2004
Regulatory
Final
State Registrations
B
Alabama 11/6/2019
B
Ohio 11/6/2019
B
Arizona 1/16/2014
B
Oregon 5/6/2013
B
California 4/12/2019
B
South Carolina 8/20/2014
B
Florida 6/5/2014
B
Texas 3/21/2017
B
Georgia 11/12/2020
IA
Texas 7/26/2022
B
Illinois 5/17/2010
B
Utah 7/27/2023
IA
Illinois 7/26/2022
B
Virginia 5/17/2010
B
Kansas 5/18/2022
B
Washington 1/5/2018
B
Michigan 3/10/2011
B
Wisconsin 12/7/2017
B
Minnesota 6/2/2021
SRO Registrations
B
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IA
Registered with this firm since 7/26/2022
B
Registered with this firm since 5/17/2010
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/17/2010 - 12/31/2022 | MEMPHIS, TN | |
IA | 08/12/2006 - 05/20/2010 | OAKBROOK TERRACE, IL | |
B | 08/12/2006 - 05/20/2010 | OAKBROOK TERRACE, IL | |
IA | 04/18/2005 - 08/12/2006 | CHICAGO, IL | |
B | 04/15/2005 - 08/12/2006 | CHICAGO, IL | |
IA | 01/06/2004 - 04/19/2005 | OAKBROOK TERRACE, IL | |
B | 01/06/2004 - 04/19/2005 | ST. LOUIS, MO | |
IA | 04/09/2003 - 01/02/2004 | CHICAGO, IL | |
B | 04/09/2003 - 01/02/2004 | PARSIPPANY, NJ | |
IA | 08/03/1998 - 04/23/2003 | OAK BROOK TERRACE, IL | |
B | 03/02/1998 - 04/23/2003 | NEW YORK, NY | |
B | 09/27/1994 - 03/02/1998 | ||
B | 09/04/1990 - 09/19/1994 | ST. LOUIS, MO | |
B | 04/04/1978 - 09/04/1990 | ||
B | 07/22/1976 - 04/04/1978 |
07/22/1976 - 04/04/1978
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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.
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