Benjamin G. Aibel
Professional summary
Benjamin Glasser Aibel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Benjamin is a previously registered financial professional and started their career in finance in 1968. Prior to being barred, Benjamin had worked at 9 firms, which includes B. RILEY WEALTH MANAGEMENT, SANDERS MORRIS LLC, OPPENHEIMER & CO. INC., ADVEST INC., CITIGROUP GLOBAL MARKETS INC., SCHRODER & CO. INC., SILBERBERG ROSENTHAL & CO., JOSEPHTHAL & CO. INC., AIBEL GWIRTZMAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - December 7, 2015
B. RILEY WEALTH MANAGEMENT
March 1, 2010 - December 17, 2012
SANDERS MORRIS LLC
November 7, 2005 - March 16, 2010
OPPENHEIMER & CO. INC.
February 28, 2003 - November 21, 2005
ADVEST, INC.
May 27, 2000 - February 19, 2003
CITIGROUP GLOBAL MARKETS INC.
March 26, 1990 - May 27, 2000
SCHRODER & CO. INC.
May 14, 1981 - March 31, 1990
SILBERBERG, ROSENTHAL & CO.
March 21, 1977 - June 8, 1981
JOSEPHTHAL & CO., INC.
April 30, 1968 - February 27, 1977
AIBEL, GWIRTZMAN & CO., 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
Exams
PC
Date: 7/1/1977
AMEX Put and Call ExamSeries 1
Date: 3/26/1959
Registered Representative ExaminationCurrent 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.
