Arthur R. Hogan
Professional summary
Arthur Rush Hogan III, who also goes by Arthur Rush Hogan, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Red Bank, New Jersey.
Arthur is registered as a RR (Registered Representative) and started their career in finance in 1997. Arthur has worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Arthur Rush Hogan III's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 29, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701January 14, 2019 - July 22, 2022
NATIONAL SECURITIES CORPORATION
July 12, 2017 - November 30, 2017
B. RILEY & CO., LLC
July 10, 2017 - January 7, 2019
B. RILEY SECURITIES, INC.
March 17, 2014 - January 7, 2019
B. RILEY WEALTH MANAGEMENT
April 25, 2011 - December 3, 2013
FM PARTNERS HOLDINGS LLC
April 8, 1998 - March 31, 2011
JEFFERIES LLC
May 5, 1997 - March 5, 1998
MORGAN STANLEY & CO. LLC
April 25, 1997 - July 23, 1997
MORGAN STANLEY DW 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
(6/29/2022)
(6/29/2022)
(7/22/2022)
(6/29/2022)
(6/29/2022)
Exams
FINRA
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
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