Forrest G. Kontomitras
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.
Forrest George Kontomitras was a registered financial professional .
Forrest is a previously registered financial professional and started their career in finance in 1986. Forrest had worked at 16 firms and has passed the Series 63, Series 3 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 29, 2010 - February 21, 2012
B. RILEY WEALTH MANAGEMENT
May 7, 2010 - July 29, 2010
BTIG, LLC
June 19, 2007 - May 19, 2010
E.J. DE LA ROSA & CO., INC.
September 7, 2006 - June 12, 2007
STERNE, AGEE & LEACH, INC.
February 14, 2003 - August 30, 2006
HOEFER & ARNETT, INCORPORATED
July 24, 2000 - February 14, 2003
IMPERIAL CAPITAL, LLC
March 31, 2000 - August 1, 2000
COUNTRYWIDE SECURITIES CORPORATION
January 2, 1998 - April 3, 2000
IMPERIAL CAPITAL, LLC
October 31, 1997 - December 31, 1997
DABNEY/RESNICK/IMPERIAL, LLC
June 23, 1997 - November 6, 1997
FIRST SOUTHWEST COMPANY, LLC
September 29, 1995 - July 24, 1996
JOSEPHTHAL & CO., INC.
June 26, 1995 - September 28, 1995
VANGUARD CAPITAL
March 7, 1991 - June 16, 1995
COASTAL SECURITIES, INC.
September 4, 1990 - March 1, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 17, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 30, 1987 - September 27, 1988
FINSER INVESTMENT COMPANY
November 21, 1986 - June 2, 1987
BBVA COMPASS INVESTMENT SOLUTIONS, 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.
