Kenneth W. Tang
Professional summary
Kenneth Webber Tang is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1993. Kenneth has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Webber Tang's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025May 29, 2003 - November 30, 2017
B. RILEY & CO., LLC
October 22, 2001 - October 10, 2002
GLEACHER & COMPANY SECURITIES, INC.
May 1, 2001 - October 3, 2001
J.P. MORGAN SECURITIES INC.
February 5, 2001 - May 1, 2001
JPMSI
May 22, 2000 - February 5, 2001
J.P. MORGAN SECURITIES INC.
July 26, 1995 - April 20, 2000
SCHRODER & CO. INC.
August 22, 1994 - January 18, 1995
KIDDER, PEABODY & CO. INCORPORATED
December 3, 1993 - June 13, 1994
AMERIPRISE ADVISOR SERVICES, 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
(11/30/2017)
(11/30/2017)
(11/30/2017)
(1/3/2023)
(11/30/2017)
(11/30/2017)
(11/30/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/26/2001
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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
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