William S. Wattel
Professional summary
William Shea Wattel, who also goes by William Shea Wattell, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Westbury, New York.
William is registered as a RR (Registered Representative) and started their career in finance in 1982. William has worked at 7 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Shea Wattel's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 1400 Old Country Road Suite 302a, Westbury, NY 11590March 15, 2013 - July 22, 2022
NATIONAL SECURITIES CORPORATION
October 31, 2008 - March 25, 2013
NEWPORT COAST SECURITIES, INC.
August 3, 2000 - October 27, 2008
BASIC INVESTORS INC.
November 13, 1989 - August 8, 2000
INSTITUTIONAL EQUITY CORPORATION
January 29, 1988 - December 13, 1989
WILLIAM M. CADDEN & CO., INC.
June 23, 1982 - February 2, 1988
MACPEG, ROSS, O'CONNELL & GOLDABER, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/22/2022)
(7/22/2022)
(7/22/2022)
(7/22/2022)
Exams
FINRA
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
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