Nancy Bogen
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.
Nancy Bogen, who also goes by Nancy Bogen Torchio, was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 1989. Nancy had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2011 - March 5, 2013
B. RILEY WEALTH MANAGEMENT
April 4, 2011 - August 29, 2011
TICONDEROGA SECURITIES LLC
September 25, 2003 - December 22, 2010
KNIGHT LIBERTAS LLC
September 4, 2003 - February 19, 2004
ASHTON THOMAS SECURITIES, LLC
November 15, 2002 - August 28, 2003
AURIA SERVICES CORP.
June 29, 2001 - December 13, 2001
WHITNEY CAPITAL MARKETS LLC
August 12, 1998 - July 6, 2000
COWEN AND COMPANY
July 1, 1998 - July 20, 1998
ABN AMRO SECURITIES LLC
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
September 2, 1993 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
May 23, 1989 - March 6, 1991
DB ALEX. BROWN 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.
