Michael Jon Zolezzi
Professional Summary
Michael Jon Zolezzi is a registered financial advisor currently at B. RILEY SECURITIES, INC. located in Greenbrae, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Disclosures on record.
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.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Current Firm
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
Contact Information
Main Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Mailing Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Phone Number
(310) 966-1444Established
Delaware since 06/16/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | — |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
Regulatory Event
12Civil Event
1Arbitration
1Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
State Registrations and Notice Filings
(1/28/2026)
(2/5/2026)
(2/6/2026)
(2/5/2026)
(2/6/2026)
(2/3/2026)
(2/23/2026)
(2/3/2026)
(2/3/2026)
(2/9/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jul 2001About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jun 2001About the Series 9 examSRO Registrations
SRO Registrations
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.
CRS (Client Relationship Summary) - BD
Click below to view Michael Jon Zolezzi's CRS (Customer Relationship Summary).
Similar Advisors
TRANSAMERICA FINANCIAL ADVISORS, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
RBC CAPITAL MARKETS, LLC
SCHWAB WEALTH ADVISORY, INC.