AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
TM

Timothy E. Monfort

B. RILEY SECURITIES
New York, NY 10171
Some features on this profile are disabled
CRD#: 1981377
TM

Professional summary

Timothy Edward Monfort is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy Edward Monfort'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

January 5, 2026 - Present

B. RILEY SECURITIES, INC.

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171
BD
CRD#: 25027
New York, NY
Past

March 27, 2019 - December 16, 2025

D.A. DAVIDSON & CO.

BD
CRD#: 199
NEW YORK, NY
Past

September 29, 2014 - March 27, 2019

SEAPORT GLOBAL SECURITIES LLC

BD
CRD#: 116270
NEW YORK, NY
Past

January 16, 2013 - December 9, 2015

GHS TRADING LLC

BD
CRD#: 158195
NEW YORK, NY
Past

March 3, 2010 - September 29, 2014

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
NEW YORK, NY
Past

April 16, 2002 - April 16, 2004

JEFFERIES/QUARTERDECK, LLC

BD
CRD#: 115153
LOS ANGELES, CA
Past

October 9, 1997 - November 25, 2009

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

September 17, 1997 - October 9, 1997

JEFFERIES LLC

BD
CRD#: 2347
Past

October 8, 1996 - September 18, 1997

HAMBRECHT & QUIST LLC

BD
CRD#: 940
SAN FRANCISCO, CA
Past

August 24, 1995 - September 3, 1996

WELLS FARGO SECURITIES, LLC

BD
CRD#: 7665
SAN FRANCISCO, CA
Past

August 13, 1990 - August 28, 1995

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

October 17, 1989 - November 15, 1989

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

August 22, 1989 - October 26, 1989

MADISON CHAPIN ASSOCS., INC.

BD
CRD#: 14483

State Registrations and Notice Filings

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

RR
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

RR
New York
(1/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 8/31/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/15/1999
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
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

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCHAIRMAN4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

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.

Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027New York, NY 10171

TRUST BUT VERIFY

Monitor Timothy Monfort

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.