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KT

Kathryn Travis

B. RILEY WEALTH MANAGEMENT
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 2161505
KT

Professional summary

Kathryn Travis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1991. Prior to being barred, Kathryn has worked at 7 firms, which includes NATIONAL SECURITIES CORPORATION, INVEST FINANCIAL CORPORATION, FSC SECURITIES CORPORATION, PRIME CAPITAL SERVICES INC., JT SECURITIES INC., OSAIC WEALTH INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn P Travis | Kathy Travis

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Travis's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 6, 2021 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701
BD
CRD#: 2543
RED BANK, NJ
Past

December 27, 2016 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
RED BANK, NJ
Past

February 9, 2012 - December 16, 2016

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
GREENVALE, NY
Past

June 16, 2010 - February 7, 2012

FSC SECURITIES CORPORATION

BD
CRD#: 7461
GREENVALE, NY
Past

February 10, 1999 - April 6, 2009

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
NEW YORK, NY
Past

July 1, 1994 - November 6, 1998

JT SECURITIES INC.

BD
CRD#: 33850
GREAT NECK, NY
Past

August 1, 1991 - July 2, 1999

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
New Jersey
(7/22/2022)
RR
New York
(11/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/11/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/12/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/11/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/27/1994
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/1993
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT
B. RILEY WEALTH MANAGEMENT
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS

CRD#: 2543 / SEC#: 801-67275, 8-31206

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
40 South Main Suite 1800, Memphis, TN 38103
Mailing Address
40 South Main Suite 1600, Memphis, TN 38103
Phone number
(901) 251-1330
Established
Tennessee since 01/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
250

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)
BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCHIEF ADMINISTRATIVE OFFICER2229865
MULLEN, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER1428116
ORTEGA, DANIELCHIEF COMPLIANCE OFFICER3095215
SWAIN, MARY ANN NELLCHIEF FINANCIAL OFFICER6484916
ZANONE, PHILIP RICHARD JRCHIEF OPERATING OFFICER2135221

Regulatory assets under management

Total Number of Accounts9,621
AUM (Assets Under Management)$ 4,118,839,755

Disclosures

Regulatory Event18
Arbitration4
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/28/2022
Cover Page
Report

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 MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CRD#: 2543Red Bank, NJ 07701

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