William L. Groeneveld
Professional summary
William Lawrence Groeneveld was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, William had worked at 9 firms, which includes B. RILEY WEALTH MANAGEMENT, NATIONAL SECURITIES CORPORATION, OSAGE INVESTMENTS INC., EQUITY STATION INC., VFINANCE INVESTMENTS INC, FIRST COLONIAL SECURITIES, PROGRAM TRADING CORP., BARRON CHASE SECURITIES INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2021 - April 14, 2022
B. RILEY WEALTH MANAGEMENT
June 8, 2012 - April 14, 2022
NATIONAL SECURITIES CORPORATION
March 8, 2011 - October 11, 2012
OSAGE INVESTMENTS, INC.
April 19, 2006 - February 15, 2013
EQUITY STATION, INC.
January 1, 2002 - March 13, 2018
VFINANCE INVESTMENTS, INC
November 27, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
March 13, 1995 - March 23, 2001
PROGRAM TRADING CORP.
December 17, 1992 - December 31, 1995
BARRON CHASE SECURITIES, INC.
February 25, 1991 - November 17, 1992
CHATFIELD DEAN & 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/13/1998
Limited Representative-Equity Trader ExamCurrent 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 |
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.
