Richard S. Schwartz
Professional summary
Richard Scott Schwartz is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Bronx, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Scott Schwartz's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 2050 Eastchester Rd Suite #101, Bronx, NY 10461November 22, 2013 - July 22, 2022
NATIONAL SECURITIES CORPORATION
July 6, 2005 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
February 7, 1997 - July 6, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
January 6, 1997 - January 28, 1997
CAPITAL ONE INVESTMENT SERVICES LLC
September 18, 1996 - January 6, 1997
CHASE INVESTMENT SERVICES CORP.
February 28, 1995 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
October 25, 1991 - March 1, 1995
METROPOLITAN LIFE INSURANCE COMPANY
October 25, 1991 - March 1, 1995
MSI 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
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(1/19/2023)
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(12/2/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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
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