Robert B. Hamill
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.
Robert Brewster Hamill was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 9 firms and has passed the 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
February 2, 2022 - September 12, 2022
B. RILEY WEALTH MANAGEMENT
December 20, 2021 - February 1, 2023
B. RILEY SECURITIES, INC.
November 2, 2020 - August 23, 2021
IMPERIAL CAPITAL, LLC
October 30, 2008 - June 3, 2013
JEFFERIES HIGH YIELD TRADING, LLC
October 20, 2008 - December 7, 2018
JEFFERIES LLC
August 4, 2003 - June 25, 2008
LEHMAN BROTHERS INC.
March 1, 1994 - June 21, 2002
J.P. MORGAN SECURITIES INC.
May 10, 1990 - March 2, 1994
CITICORP SECURITIES, INC.
April 18, 1989 - April 3, 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
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.
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