Laurette M. Oldewurtel
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.
Laurette Marie Oldewurtel was a registered financial professional .
Laurette is a previously registered financial professional and started their career in finance in 1983. Laurette had worked at 10 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
July 22, 2022 - September 19, 2023
B. RILEY WEALTH MANAGEMENT
August 29, 2017 - September 19, 2023
B. RILEY WEALTH ADVISORS, INC.
November 22, 2013 - July 22, 2022
NATIONAL SECURITIES CORPORATION
January 17, 2002 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
December 8, 1994 - July 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - January 29, 2002
CITICORP INVESTMENT SERVICES
April 19, 1991 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
August 29, 1990 - April 3, 1991
CAL FED INVESTMENTS
July 17, 1989 - June 4, 1990
INVEST FINANCIAL CORPORATION
January 24, 1986 - August 7, 1989
LEHMAN BROTHERS INC.
August 23, 1983 - February 11, 1985
LEHMAN BROTHERS 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
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.
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