Andrew W. Melitz
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.
Andrew Wolfgang Melitz, who also goes by Andrew Melitz, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1983. Andrew had worked at 12 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - August 8, 2018
B. RILEY WEALTH MANAGEMENT
July 11, 2012 - January 28, 2015
DOMINICK & DICKERMAN LLC
January 9, 2008 - April 16, 2008
ESPOSITO SECURITIES, LLC
January 18, 2006 - June 1, 2007
EXANE, INC.
July 15, 2005 - January 17, 2006
MOORS & CABOT FINANCIAL ADVISORS, LLC
March 27, 2002 - January 4, 2006
MOORS & CABOT, INC.
June 11, 1996 - March 6, 2002
DG EUROPEAN SECURITIES CORPORATION
April 5, 1991 - April 21, 1992
JULIUS BAER SECURITIES INC.
July 27, 1988 - April 4, 1989
COMMERZBANK CAPITAL MARKETS CORP.
July 2, 1985 - January 16, 1989
SAVORY MILLN SECURITIES, INC.
November 9, 1984 - May 30, 1985
BHF SECURITIES CORPORATION
September 19, 1983 - October 11, 1984
JESUP & LAMONT SECURITIES CO., 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
Series 55
Date: 8/10/2000
Limited Representative-Equity Trader ExamCurrent 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
