Bryant R. Riley

B. RILEY SECURITIES

Los Angeles, CA 90025

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CRD#: 1702453

Professional summary

Bryant Richard Riley is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.

Bryant is registered as a RR (Registered Representative) and started their career in finance in 1989. Bryant has worked at 10 firms and has passed the Series 63, Series 57TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

1) Chairman and Co-CEO of B. Riley Financial, Inc. (Parent company of B. Riley Securities, Inc., B. Riley Capital Management, LLC, and B. Riley Wealth Management, Inc.). Investment-related. Start 08/2014. Employment concurrent with B. Riley Securities, Inc. Majority of business conducted during market hours. Approx. 50 hrs/mth. 2) Freedom VCM Holdings, LLC. Investment-related. 109 Innovation Court, Suite J, Delaware, OH, 43015. Investment holding company. Board member. Started Aug 2023. Normal duties associated with board member.

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CRS (Client Relationship Summary) - BD

Click below to view Bryant Richard Riley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 29, 2017 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025

CRD#: 25027

Los Angeles, CA

Past

July 12, 2017 - December 3, 2019

CRD#: 40355

LOS ANGELES, CA

Past

February 12, 1996 - February 3, 1997

DABNEY/RESNICK/IMPERIAL, LLC

CRD#: 24367

BEVERLY HILLS, CA

Past

February 13, 1995 - February 9, 1996

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

Past

October 19, 1993 - February 15, 1995

DABNEY/RESNICK/IMPERIAL, LLC

CRD#: 24367

BEVERLY HILLS, CA

Past

September 26, 1991 - September 29, 1993

HUBERMAN FINANCIAL INC.

CRD#: 28760

DALLAS, TX

Past

September 27, 1989 - October 4, 1991

L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC

CRD#: 14152

IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/29/2017)

New York
(8/16/2017)

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Mailing Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Phone number

(310) 966-1444

Established

Delaware since 06/16/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

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Advisor Monitoring

Firm Stability Insights

Bryant R. Riley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bryant Richard Riley's CRS (Customer Relationship Summary).

Certified licenses

Experience

MLV & CO. LLC

B. RILEY CAPITAL MANAGEMENT

B. RILEY ASSET MANAGEMENT, LLC

B. RILEY & CO., LLC

RILEY INVESTMENT MANAGEMENT

B. RILEY & CO., LLC

DABNEY/RESNICK/IMPERIAL, LLC

LADENBURG CAPITAL MANAGEMENT INC.

DABNEY/RESNICK/IMPERIAL, LLC

HUBERMAN FINANCIAL INC.

L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/1991

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/25/2000

Series 7

Date: 10/17/1987

Series 4

Date: 1/28/1997

Series 27

Date: 9/5/1996

Series 24

Date: 8/5/1996

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

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