JB
James Baroutas
B. RILEY WEALTH ADVISORS
Edgewater, NJ
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CRD#: 1252613
JB
Professional summary
James Baroutas is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Edgewater, New Jersey and B. RILEY WEALTH MANAGEMENT located in New York, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Wealth(k)are Partners; INVESTMENT-RELATED; 299 PARK AVE 21ST FL, NEW YORK, NY 10171; MARKETING NAME FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 11/2024. 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view James Baroutas's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 25, 2022 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #2: 299 Park Avenue 8th 9th, & 11th Floors, New York, NY, 10171RIA
CRD#: 115927
Edgewater, NJ
Current
January 20, 2015 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171BD
CRD#: 2543
New York, NY
Past
January 20, 2015 - December 31, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
NEW YORK, NY
Past
June 7, 2011 - January 26, 2015
DOMINICK & DICKERMAN LLC
RIA
CRD#: 7344
NEW YORK, NY
Past
May 31, 2011 - January 26, 2015
DOMINICK & DICKERMAN LLC
BD
CRD#: 7344
NEW YORK, NY
Past
April 15, 2011 - May 23, 2011
MORGAN STANLEY
RIA
CRD#: 149777
NEW YORK, NY
Past
April 15, 2011 - May 23, 2011
MORGAN STANLEY
BD
CRD#: 149777
NEW YORK, NY
Past
February 1, 2006 - April 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
June 11, 1999 - April 20, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 29, 1998 - April 9, 1999
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
September 15, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
April 5, 1991 - August 20, 1997
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Past
February 18, 1987 - March 25, 1991
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
April 27, 1984 - December 19, 1986
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/19/2021)
RR
California(1/21/2015)
RR
Colorado(1/26/2021)
RR
Connecticut(1/20/2015)
RR
District of Columbia(1/20/2015)
RR
Florida(1/20/2015)
RR
Georgia(2/15/2021)
RR
Illinois(1/21/2015)
RR
Louisiana(7/27/2016)
RR
Maine(2/1/2021)
RR
Maryland(1/26/2021)
RR
Michigan(1/27/2021)
RR
Montana(4/1/2021)
RR
Nevada(2/10/2021)
RR
New Jersey(4/8/2015)
IAR
New Jersey(7/25/2022)
RR
New York(1/20/2015)
IAR
New York(7/25/2022)
RR
North Carolina(8/19/2021)
RR
Ohio(5/18/2020)
RR
Oregon(7/15/2025)
RR
Pennsylvania(1/20/2015)
RR
South Carolina(4/9/2015)
RR
Texas(12/12/2018)
RR
Utah(8/12/2021)
RR
Virginia(2/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
