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 |
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.
