Ross K. Mclaren
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.
Ross Keith Mclaren, who also goes by Ross Mclaren, was a registered financial professional .
Ross is a previously registered financial professional and started their career in finance in 1993. Ross had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 17 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
April 7, 2022 - October 24, 2022
B. RILEY SECURITIES, INC.
December 2, 2019 - January 14, 2022
OPPENHEIMER & CO. INC.
December 14, 2015 - November 21, 2019
IMPERIAL CAPITAL, LLC
January 7, 2014 - February 25, 2015
GOLDMAN SACHS & CO. LLC
February 3, 2010 - June 28, 2011
NATWEST MARKETS SECURITIES INC.
September 3, 1999 - February 27, 2002
CREDIT SUISSE SECURITIES (USA) LLC
July 22, 1998 - August 28, 1999
DB ALEX. BROWN LLC
October 4, 1993 - August 22, 1996
J.P. MORGAN SECURITIES LLC
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 17
Date: 9/30/1993
Limited Registered Representative ExaminationCurrent 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.
