Vernon L. Gibson
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.
Vernon Lucius Gibson, who also goes by Vernon Gibson, was a registered financial professional .
Vernon is a previously registered financial professional and started their career in finance in 1986. Vernon had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - September 9, 2024
B. RILEY WEALTH MANAGEMENT
January 4, 2021 - September 9, 2024
B. RILEY WEALTH ADVISORS, INC.
July 31, 2020 - April 16, 2021
WINSLOW, EVANS & CROCKER, INC.
June 18, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
August 2, 2007 - June 22, 2020
MOORS & CABOT, INC.
November 13, 2006 - June 22, 2020
MOORS & CABOT, INC.
January 18, 2006 - November 28, 2006
JANNEY MONTGOMERY SCOTT LLC
June 10, 1998 - November 28, 2006
JANNEY MONTGOMERY SCOTT LLC
May 18, 1998 - December 31, 2005
JANNEY MONTGOMERY SCOTT LLC
June 20, 1994 - May 22, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1991 - June 1, 1994
PRUDENTIAL EQUITY GROUP, LLC
August 21, 1989 - February 21, 1991
MORGAN STANLEY DW INC.
November 21, 1986 - September 18, 1989
LEHMAN BROTHERS 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
Series 8
Date: 3/9/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
