Steven H. Bright
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.
Steven Howard Bright, who also goes by Steve Bright, Steven H Bright, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 8 firms and has passed the Series 65, 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
May 15, 2015 - November 29, 2016
B. RILEY WEALTH MANAGEMENT
May 15, 2015 - November 29, 2016
B. RILEY WEALTH MANAGEMENT
February 16, 2007 - June 15, 2015
HILLTOP SECURITIES INC.
February 16, 2007 - June 15, 2015
HILLTOP SECURITIES INC.
October 5, 2001 - February 20, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 5, 2001 - February 20, 2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 3, 1998 - October 17, 2001
JOSEPHTHAL & CO., INC.
June 3, 1992 - October 5, 1998
H.J. MEYERS & CO., INC.
January 22, 1992 - June 9, 1992
EMANUEL AND COMPANY
May 7, 1991 - January 27, 1992
BARING & BROWN, INC.
June 21, 1990 - May 2, 1991
F.N. WOLF & 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
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.
