Gary W. Mascitis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Wayne Mascitis JR., who also goes by Gary Wayne Mascitis Jr, Gary Wayne Mascitis, Gary Mascitis, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1990. Gary had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2015 - March 24, 2017
B. RILEY WEALTH MANAGEMENT
April 27, 2015 - June 11, 2015
AVATAR SECURITIES, LLC
December 8, 2012 - November 3, 2014
WILLIAM BLAIR
July 28, 2010 - August 15, 2011
CITADEL SECURITIES LLC
September 9, 2009 - June 22, 2010
WEEDEN & CO.L.P.
January 30, 2009 - September 8, 2009
NORTHEAST SECURITIES, LLC
July 2, 2007 - February 24, 2009
CREDIT SUISSE SECURITIES (USA) LLC
August 2, 2004 - June 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1995 - June 11, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 1991 - October 1, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 24, 1990 - January 24, 1991
IDS LIFE INSURANCE COMPANY
April 24, 1990 - January 24, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
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
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.
