JF
Jeffrey K. Fishman
B. RILEY WEALTH MANAGEMENT
TAMPA, FL 33618
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CRD#: 1021795
JF
Professional summary
Jeffrey K Fishman, who also goes by Jeffrey Kessler Fishman, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Tampa, Florida.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1981. Jeffrey has worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 15, Series 5 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jeffrey Kessler Fishman
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) QUEEN CHARLOTTE HOTEL CORP; ST. THOMAS, V.I. 00804; INVESTMENT RELATED; OWNER - REAL ESTATE; 5 HRS/MONTH, 0 DURING TRADING HOURS; START DATE 01/01/2000... 2.) B. RILEY WEALTH INSURANCE CORP; INVESTMENT- RELATED; SAME ADDRESS AS BRWM; INSURANCE REPRESENTATIVE, AGENT; 1 HR/MONTH, DURING SECURITIES TRADING HOURS; FIXED INSURANCE PRODUCTS SALES...
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey K Fishman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 2901 W. Busch Blvd Twin Lakes Office Park Unit 900-a, Tampa, FL 33618BD
CRD#: 2543
TAMPA, FL
Past
July 12, 2021 - September 18, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
Boca Raton, FL
Past
March 18, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEW YORK, NY
Past
November 15, 2018 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
BD
CRD#: 29686
New York, NY
Past
June 1, 2009 - November 16, 2018
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
September 19, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
January 17, 2003 - September 29, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
January 3, 2003 - January 23, 2003
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
Past
October 16, 1984 - January 3, 2003
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
November 25, 1981 - October 23, 1984
L. F. ROTHSCHILD & CO. INCORPORATED
BD
CRD#: 501
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/22/2022)
RR
Connecticut(7/22/2022)
RR
Florida(7/22/2022)
RR
Georgia(7/22/2022)
RR
Indiana(1/21/2025)
RR
Maryland(7/22/2022)
RR
Massachusetts(8/25/2025)
RR
Michigan(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Virgin Islands(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 7/27/1988
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/5/1982
Interest Rate Options ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS
CRD#: 2543 / SEC#: 801-67275, 8-31206
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 South Main Suite 1800, Memphis, TN 38103
Mailing Address
40 South Main Suite 1600, Memphis, TN 38103
Phone number
(901) 251-1330
Established
Tennessee since 01/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
250
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.
Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Tampa, FL 33618TRUST BUT VERIFY
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