James J. Adinolfi
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.
James John Adinolfi was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9, Series 8, Series 27 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
September 18, 2018 - December 3, 2020
B. RILEY SECURITIES, INC.
January 21, 2015 - September 17, 2025
B. RILEY WEALTH MANAGEMENT
October 17, 2002 - January 26, 2015
DOMINICK & DICKERMAN LLC
December 15, 1999 - October 3, 2002
DOMINICK & DICKERMAN LLC
February 5, 1996 - March 6, 2000
IRONHORSE SECURITIES INC.
June 12, 1991 - November 15, 1995
PAPAMARKOU WELLNER & CO., INC.
November 21, 1984 - February 28, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 5/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
