DM
David A. Macdonald
B. RILEY WEALTH MANAGEMENT
Boston, MA 02109
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CRD#: 2291101
DM
Professional summary
David Alexander Macdonald is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Boston, Massachusetts.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 6 firms and has passed the Series 63, Series 72, Series 52TO, SIE, Series 7, Series 53, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view David Alexander Macdonald's 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®
NoneExperience
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 10 Post Office Square Suite 600, Boston, MA 02109BD
CRD#: 2543
Boston, MA
Past
June 18, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
BOSTON, MA
Past
February 14, 2018 - June 22, 2020
MOORS & CABOT, INC.
BD
CRD#: 594
BOSTON, MA
Past
December 10, 2012 - October 19, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
November 24, 2006 - October 23, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
April 19, 2005 - March 2, 2006
NF CLEARING, INC.
BD
CRD#: 14285
PHILADELPHIA, PA
Past
November 23, 1992 - October 17, 2016
NATIONAL FINANCIAL SERVICES LLC
BD
CRD#: 13041
BOSTON, MA
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
Arizona(7/22/2022)
RR
California(7/22/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(7/22/2022)
RR
District of Columbia(7/22/2022)
RR
Florida(7/22/2022)
RR
Georgia(7/22/2022)
RR
Hawaii(7/22/2022)
RR
Maine(7/22/2022)
RR
Massachusetts(7/22/2022)
RR
Michigan(7/22/2022)
RR
Minnesota(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New Mexico(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
Ohio(7/22/2022)
RR
Oregon(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Rhode Island(7/22/2022)
RR
South Carolina(7/22/2022)
RR
Texas(7/22/2022)
RR
Vermont(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 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.
Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Boston, MA 02109TRUST BUT VERIFY
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