Nathaniel M. Lipstadt
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.
Nathaniel M Lipstadt was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1988. Nathaniel had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 4 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
January 6, 2018 - November 19, 2018
B. RILEY SECURITIES, INC.
March 15, 2017 - September 10, 2018
B. RILEY WEALTH MANAGEMENT
November 4, 2015 - February 1, 2017
XP INVESTMENTS US, LLC
November 23, 2011 - July 22, 2015
JEFFERIES LLC
December 19, 2003 - November 23, 2011
JEFFERIES BACHE SECURITIES, LLC
April 15, 1999 - January 1, 2004
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1988 - January 8, 1999
GOLDMAN SACHS & CO. LLC
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: 2/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
