Timothy Edward Monfort
Professional Summary
Timothy Edward Monfort is a registered financial advisor currently at B. RILEY SECURITIES, INC. located in New York, New York. Timothy is registered as a RR (Registered Representative) and started their career in finance in 1989. Timothy has worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
Contact Information
Main Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Mailing Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Phone Number
(310) 966-1444Established
Delaware since 06/16/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | — |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
Regulatory Event
12Civil Event
1Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(1/5/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Timothy Edward Monfort's CRS (Customer Relationship Summary).
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