Alex D. Kwon
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.
Alex Dae Yoo Kwon was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1987. Alex had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 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 - October 20, 2022
B. RILEY WEALTH MANAGEMENT
November 17, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 12, 2021 - October 20, 2022
B. RILEY WEALTH ADVISORS, INC.
July 22, 2010 - December 19, 2019
CHARLES SCHWAB & CO., INC.
July 20, 2010 - December 19, 2019
CHARLES SCHWAB & CO., INC.
January 16, 2009 - October 19, 2009
NRP ADVISORS, INC.
January 15, 2009 - October 19, 2009
NRP FINANCIAL, INC.
August 13, 2003 - April 28, 2009
STRATEGIC ADVISERS LLC
August 1, 2003 - January 20, 2009
FIDELITY BROKERAGE SERVICES LLC
June 7, 2002 - July 7, 2003
CITIGROUP GLOBAL MARKETS INC.
June 7, 2002 - July 7, 2003
CITIGROUP GLOBAL MARKETS INC.
July 8, 1997 - June 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 1990 - June 10, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 18, 1987 - July 16, 1990
AMERIPRISE FINANCIAL SERVICES, 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: 2/19/1998
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.
