Rebecca L. James
Professional summary
Rebecca Levon James, who also goes by Levon James, R.levon Levon James, R.levon James, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Little Rock, Arkansas.
Rebecca is registered as a RR (Registered Representative) and started their career in finance in 1992. Rebecca has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rebecca Levon James's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 425 W Capitol Ave Suite 3500, Little Rock, AR 72201August 2, 2017 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 11, 2013 - August 3, 2017
WFG INVESTMENTS, INC.
June 16, 2010 - March 25, 2011
WFG INVESTMENTS, INC.
June 7, 2010 - March 25, 2011
WFG ADVISORS, LP
August 23, 2000 - April 9, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - April 9, 2009
CITIGROUP GLOBAL MARKETS INC.
October 21, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 8
Date: 9/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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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Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Little Rock, AR 72201TRUST BUT VERIFY
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