Kenneth R. Werner
Professional summary
Kenneth Richard Werner is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Greenbrae, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1990. Kenneth has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Richard Werner's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 100 Drakes Landing Suite 1-305, Greenbrae, CA 94904June 18, 2020 - August 25, 2020
B. RILEY WEALTH MANAGEMENT
July 25, 2016 - November 30, 2017
B. RILEY & CO., LLC
February 12, 2002 - July 25, 2016
MERRIMAN CAPITAL, INC.
June 18, 1998 - February 14, 2002
WELLS FARGO SECURITIES, LLC
August 6, 1997 - June 5, 1998
THE SEIDLER COMPANIES INCORPORATED
January 31, 1992 - June 18, 1997
DABNEY/RESNICK/IMPERIAL, LLC
February 22, 1991 - January 15, 1992
L.H. FRIEND, WEINRESS, FRANKSON & PRESSON, LLC
August 3, 1990 - November 14, 1990
WOODBURY FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/6/2023)
(11/30/2017)
(11/6/2023)
(11/30/2017)
(12/11/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/30/2017)
(11/6/2023)
(11/6/2023)
(11/30/2017)
(1/7/2022)
(11/6/2023)
(11/6/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/4/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
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
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Company Information
B. RILEY SECURITIES, INC.
CRD#: 25027Greenbrae, CA 94904TRUST BUT VERIFY
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