Michael D. Silver
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.
Michael David Silver was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 11 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 - May 13, 2024
B. RILEY WEALTH MANAGEMENT
July 1, 2015 - May 13, 2024
B. RILEY WEALTH ADVISORS, INC.
August 1, 2005 - July 22, 2013
B. RILEY WEALTH ADVISORS, INC.
September 4, 1998 - July 22, 2022
NATIONAL SECURITIES CORPORATION
July 10, 1995 - September 1, 1998
EDWARD JONES
March 30, 1995 - July 12, 1995
KEY INVESTMENTS INC.
March 4, 1992 - June 15, 1994
U.S. BANCORP SECURITIES
February 3, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
February 3, 1988 - March 18, 1992
MONY SECURITIES CORPORATION
June 12, 1987 - November 20, 1987
WEDBUSH SECURITIES INC.
October 1, 1984 - April 23, 1987
UBS FINANCIAL SERVICES INC.
May 30, 1984 - October 1, 1984
SHULMAN & 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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
