B. RILEY WEALTH ADVISORS, INC. of MEMPHIS, TN is an SEC-registered investment adviser (CRD 115927). Regulatory assets under management: $4.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| Klein H David | DIRECTOR | Herndon, VA |
| Michael Anthony Mullen | CHIEF EXECUTIVE OFFICER | New York, NY |
| Mary Ann Swain | CHIEF FINANCIAL OFFICER | — |
| Philip Richard Zanone | CHIEF OPERATING OFFICER | — |
| Daniel Ortega | CHIEF COMPLIANCE OFFICER | Memphis, TN |
| Marcus Anthony Arneaud | CHIEF COMPLIANCE OFFICER | — |
| GUAGLIARDO ALICIA MARIA | CHIEF COMPLIANCE OFFICER AND CHIEF SUPERVISORY OFFICER | — |
| KAPLAN MARTIN EDWARD | PRESIDENT & CHIEF OPERATING OFFICER | — |
| RUNKLE DONALD KENNETH | CHIEF REGULATORY OFFICER; CHIEF SUPERVISORY OFFICER | — |
| GOLDWASSER MARK HARRY | CHIEF EXECUTIVE OFFICER; DIRECTOR; PRESIDENT AND CHIEF EXECUTIVE OFFICER | — |
| FRIEDMAN BRIAN ARIE | DIRECTOR | — |
| TANG ANDREW | DIRECTOR OF OPERATIONS; TREASURER | — |
| CLARKIN KEVIN DAVID | PRESIDENT | — |
| SATRIAWAN LEO | DIRECTOR | — |
| GAY JULIE EILEEN | SECRETARY, CCO; SECRETARY, CHIEF COMPLIANCE OFFICER | — |
| ZANONE PHILIP RICHARD | CHIEF OPERATING OFFICER | — |
| ROTH JONATHAN DAVID | SECRETARY, DIRECTOR | — |
| WORMAN GLENN CHARLES | DIRECTOR; SECRETARY | — |
| CHAFFEE HAROLD GERARD | CHIEF COMPLIANCE OFFICER | — |
| LEVINE DAVID CHARLES | DIRECTOR; DIRECTOR OF BUSINESS DEVELOPMENT; EXECUTIVE VICE PRESIDENT (+1 more) | — |
| NAPOLITANO EDWARD JOSEPH | VICE PRESIDENT OF OPERATIONS | — |
| KOENIGSBERG JOHN A | DIRECTOR OF OPERATIONS | — |
| NASR SEYYED VALIALLAH | CHIEF EXECUTIVE OFFICER AND TREASURER; CHIEF EXECUTIVE OFFICER AND TREASURER, DIRECTOR; CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER, TREASURER, AND DIRECTOR (+1 more) | — |
| LEVIN ALAN BRUCE | DIRECTOR; SECRETARY AND DIRECTOR; SECRETARY AND DIRECTOR AND TREASURER (+1 more) | — |
| SOKOLOW LEONARD JAY | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | THE SEC ALLEGED NATIONAL ASSET MANAGEMENT INC. (NAM) HELD 12B-1 SHARES FOR CLIENTS INSTEAD OF LOWER-COST, OTHERWISE IDENTICAL SHARES. THE 12B-1 SHARES PROVIDED ADDITIONAL FEES TO NAM AND ITS ADVISERS. THESE FEES WERE NOT PROPERLY DISCLOSED TO CLIENTS, THUS CREATING AN UNACCEPTABLE CONFLICT OF INTERE… | Final | — |
| 2015-10-26 | regulatory | FAILURE TO DISCLOSE AND OBTAIN CONSENT TO OVER 21,000 PRINCIPAL TRADES; FAILURE TO REPORT IN SEC FILINGS AND TIMELY DISCLOSE DISCIPLINARY HISTORIES OF SEVERAL ASSOCIATED PERSONS; FAILURE TO ENFORCE CODE OF ETHICS REGARDING PERSONAL SECURITIES TRADING REPORTS; FAILURE TO ADOPT AND IMPLEMENT CERTAIN C… | Final | $200K |
| — | regulatory | — | — | — |
Showing 15 of 27 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| NEW YORK | NY | 11 | 212-409-2442 |
| CHICAGO | IL | 6 | 800-388-3851 |
| BOSTON | MA | 5 | (800) 556-8600 |
| PLAINVIEW | NY | 5 | 516-870-0809 |
| THE WOODLANDS | TX | 5 | 800-794-3125 |
| MEMPHIS | TN | 5 | 800-726-0557 |
| OAKBROOK TERRACE | IL | 4 | 630-993-9035 |
| CHICAGO | IL | 4 | 312-247-0718 |
| WESTBURY | NY | 4 | 516-408-3030 |
| POUGHKEEPSIE | NY | 4 | 845-485-3300 |
| RED BANK | NJ | 4 | 732-807-2353 |
| BLUFFTON | SC | 3 | 843-757-6639 |
| POUGHKEEPSIE | NY | 3 | 845-454-9000 |
| LITTLE ROCK | AR | 3 | 501-975-7100 |
| QUAKERTOWN | PA | 3 | 267-424-2961 |