JP
John J. Padgett
B. RILEY WEALTH ADVISORS
NEPTUNE, NJ 07753
Some features on this profile are disabled
CRD#: 2146904
JP
Professional summary
John Joseph Padgett, who also goes by John J Padgett, John Josesph Padgett, is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Neptune, New Jersey and B. RILEY WEALTH MANAGEMENT located in Neptune, New Jersey.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. John has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John J Padgett | John Josesph Padgett
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) B. RILEY WEALTH INSURANCE FIXED ANNUITIES; INVESTMENT RELATED; MANASQUAN, NJ; INSURANCE; LICENSED INSURANCE AGENT; MAY 2011; 5 HOURS A MONTH / ZERO DURING TRADING HOURS; SALES...2) EMERSON REID & CO - GENERAL AGENT GENE KOSTER - BROKER START MAY 2014 669 RIVER DRIVE CENTER SUITE 305 ELMWOOD PARK, NJ HEALTH INSURANCE GROUP & INDIVIDUAL 8-10 HRS PER MONTH 1-3 DURING TRADING HRS LICENSED INSURANCE AGENT...3) MERITAGE GROUP LLC, NON INVESTMENT RELATED,2520 HIGHWAY 35,SUITE 103, MANASQUAN, NJ 08736,RECORD KEEPING FOR IRS ONLY,OWNER/SINGLE ENTITY LLC, START DATE:06/2002, ZERO HOURS DEVOTED TO OBI,RECORD KEEPING FOR IRS ONLY..4)WHALE MALLOZZI & PADGETT PC, NON INVESTMENT RELATED, 3301 ROUTE 66, BLDG C, NEPTUNE NJ 07753, TAX & ACCOUNTING, MANAGING PARTNER, START DATE: 10/2014, 20 HOURS/MONTH DURING TRADING HOURS, MANAGEMENT & OPERATIONS...5)THE ORDER OF THE FRIENDLY SONS OF THE SHILLELAGH OF THE JERSEY SHORE NOT INVESTMENT RELATED 16TH AVE BELMAR, NJ 07719 SOCIAL ORGANIZATION NON-PROFIT TREASURER, START DATE 5/1/2015 16 HRS PER MONTH ZERO DURING TRADING HRS
CRS (Client Relationship Summary) - RIA
Click below to view John Joseph Padgett's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 24, 2019 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #1: 3301 Route 66 Building A / Suite 220, Neptune, NJ 07753RIA
CRD#: 115927
NEPTUNE, NJ
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 3301 Route 66 Building A 2nd Floor, Neptune, NJ, 07753BD
CRD#: 2543
Neptune, NJ
Past
November 14, 2008 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
NEPTUNE, NJ
Past
October 3, 2006 - November 18, 2008
FIRST MONTAUK SECURITIES CORP.
RIA
CRD#: 13755
MANASQUAN, NJ
Past
May 27, 2003 - November 18, 2008
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
MANASQUAN, NJ
Past
September 1, 2001 - June 24, 2003
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
March 8, 1997 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
August 21, 1995 - February 13, 1997
RICKEL & ASSOCIATES, INC.
BD
CRD#: 7839
NEW YORK, NY
Past
June 5, 1992 - August 15, 1995
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
NEW YORK, NY
Past
August 29, 1991 - May 12, 1992
HIBBARD BROWN & CO., INC.
BD
CRD#: 18246
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Delaware(7/22/2022)
RR
Florida(7/22/2022)
RR
Illinois(7/22/2022)
RR
Maryland(7/22/2022)
RR
Massachusetts(7/22/2022)
IAR
New Jersey(1/24/2019)
RR
New Jersey(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
South Carolina(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
Company Information
B. RILEY WEALTH ADVISORS, INC.
CRD#: 115927Neptune, NJ 07753TRUST BUT VERIFY
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Contact information
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