Jane L. Fincher
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jane Lang Fincher was a registered financial professional .
Jane is a previously registered financial professional and started their career in finance in 1981. Jane had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2015 - July 6, 2022
B. RILEY WEALTH MANAGEMENT
January 21, 2015 - July 6, 2022
B. RILEY WEALTH MANAGEMENT
February 22, 2010 - January 26, 2015
DOMINICK & DICKERMAN LLC
February 3, 2010 - January 26, 2015
DOMINICK & DICKERMAN LLC
September 28, 2006 - February 3, 2010
OPPENHEIMER & CO. INC.
January 3, 2003 - February 3, 2010
OPPENHEIMER & CO. INC.
May 17, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
January 4, 1993 - June 17, 2002
PERSHING LLC
June 3, 1988 - January 21, 1993
UBS FINANCIAL SERVICES INC.
August 26, 1982 - June 21, 1988
CITIGROUP GLOBAL MARKETS INC.
November 3, 1981 - August 19, 1982
E. F. HUTTON & COMPANY INC
August 23, 1981 - August 17, 1981
JOHN MUIR & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
