Jonathan C. Rich
Professional summary
Jonathan Craig Rich was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Jonathan had worked at 8 firms, which includes B. RILEY SECURITIES INC., EQUITY STATION INC., OSAGE INVESTMENTS INC., NATIONAL SECURITIES CORPORATION, VFINANCE INVESTMENTS INC, FIRST COLONIAL SECURITIES, VFINANCE CAPITAL LC, SUPPES SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2021 - May 6, 2022
B. RILEY SECURITIES, INC.
June 16, 2011 - December 18, 2012
EQUITY STATION, INC.
June 16, 2011 - July 31, 2013
OSAGE INVESTMENTS, INC.
January 21, 2009 - May 6, 2022
NATIONAL SECURITIES CORPORATION
January 1, 2002 - December 20, 2012
VFINANCE INVESTMENTS, INC
March 6, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
January 18, 2001 - April 18, 2001
VFINANCE CAPITAL LC
March 18, 1997 - January 17, 2001
FIRST COLONIAL SECURITIES
September 22, 1992 - March 12, 1997
SUPPES SECURITIES, 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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking 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 |
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