Chalkley J. Hambleton
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.
Chalkley Jay Hambleton, who also goes by Chalkley Jay Hambleton, Jay Hambleton Jr, was a registered financial professional .
Chalkley is a previously registered financial professional and started their career in finance in 1987. Chalkley had worked at 7 firms and has passed the Series 65, Series 63 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
February 14, 2012 - September 11, 2013
B. RILEY WEALTH MANAGEMENT
February 13, 2012 - September 11, 2013
B. RILEY WEALTH MANAGEMENT
July 28, 2011 - February 13, 2012
QUASAR DISTRIBUTORS, LLC
August 20, 2009 - March 26, 2012
ORION CAPITAL MANAGEMENT INC
January 22, 2007 - August 19, 2009
MML INVESTORS SERVICES, LLC
August 21, 2002 - July 13, 2006
MORGAN STANLEY DW INC.
May 4, 2000 - July 13, 2006
MORGAN STANLEY DW INC.
August 1, 1997 - November 10, 1999
NEWEDGE FINANCIAL INC.
September 10, 1996 - August 1, 1997
MORGAN STANLEY DW INC.
August 19, 1987 - July 11, 1996
MIZUHO SECURITIES USA 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
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.
