ER
Eric M. Ratner
B. RILEY SECURITIES
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 1286523
ER
Professional summary
Eric Michael Ratner is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1987. Eric has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Eric Michael Ratner'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
May 15, 2019 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025BD
CRD#: 25027
Los Angeles, CA
Past
July 19, 2010 - August 31, 2022
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Parsippany, NJ
Past
November 13, 2008 - July 15, 2010
JESUP & LAMONT SECURITIES CORP
BD
CRD#: 39056
PARSIPPANY, NJ
Past
May 15, 1987 - December 8, 2008
FINANCIAL NORTHEASTERN SECURITIES, INC.
BD
CRD#: 17007
FAIRFIELD, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/16/2019)
RR
Alaska(7/25/2019)
RR
Arizona(5/15/2019)
RR
Arkansas(6/6/2019)
RR
California(5/16/2019)
RR
Colorado(6/7/2019)
RR
Connecticut(5/16/2019)
RR
Delaware(7/11/2019)
RR
District of Columbia(4/30/2020)
RR
Florida(6/10/2019)
RR
Georgia(6/18/2019)
RR
Hawaii(6/10/2019)
RR
Idaho(5/15/2019)
RR
Illinois(6/13/2019)
RR
Indiana(8/21/2019)
RR
Iowa(5/17/2019)
RR
Kansas(5/20/2019)
RR
Kentucky(6/6/2019)
RR
Louisiana(6/7/2019)
RR
Maine(5/16/2019)
RR
Maryland(5/20/2019)
RR
Massachusetts(8/16/2019)
RR
Michigan(5/17/2019)
RR
Minnesota(8/19/2019)
RR
Mississippi(5/17/2019)
RR
Missouri(5/16/2019)
RR
Montana(6/10/2019)
RR
Nebraska(5/20/2019)
RR
New Hampshire(6/11/2019)
RR
New Jersey(6/6/2019)
RR
New Mexico(6/7/2019)
RR
North Carolina(7/26/2019)
RR
North Dakota(6/11/2019)
RR
Ohio(5/15/2019)
RR
Oklahoma(5/16/2019)
RR
Oregon(10/26/2021)
RR
Pennsylvania(8/7/2019)
RR
Rhode Island(5/16/2019)
RR
South Carolina(5/16/2019)
RR
South Dakota(6/3/2019)
RR
Tennessee(6/6/2019)
RR
Texas(6/6/2019)
RR
Utah(6/4/2019)
RR
Vermont(6/6/2019)
RR
Virginia(7/24/2019)
RR
Washington(5/16/2019)
RR
Wisconsin(5/17/2019)
RR
Wyoming(6/7/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
