Bryan A. Maher
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.
Bryan Anthony Maher, who also goes by Bryan Anthony Maher, was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 1992. Bryan had worked at 13 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2015 - January 22, 2025
B. RILEY SECURITIES, INC.
January 26, 2015 - August 19, 2015
BREAN CAPITAL, LLC
November 5, 2012 - January 20, 2015
CRAIG-HALLUM CAPITAL GROUP LLC
October 26, 2011 - January 11, 2012
WJB CAPITAL GROUP, INC.
July 13, 2010 - August 11, 2011
CITADEL SECURITIES LLC
July 2, 2009 - March 22, 2010
CANACCORD GENUITY SECURITIES LLC
April 22, 2009 - July 7, 2009
SANDERS MORRIS LLC
February 29, 2008 - June 6, 2008
RBC CAPITAL MARKETS, LLC
July 5, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
July 21, 1999 - April 7, 2005
CREDIT AGRICOLE SECURITIES (USA) INC.
June 7, 1999 - July 16, 1999
DEUTSCHE BANK SECURITIES INC.
April 12, 1996 - June 7, 1999
DB ALEX. BROWN LLC
March 16, 1992 - April 17, 1996
MORGAN STANLEY DW 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 SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 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.
