Matthew W. Spain
Professional summary
Matthew Whitfield Spain is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Matthew is registered as a RR (Registered Representative) and started their career in finance in 1994. Matthew has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Matthew Whitfield Spain's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 30, 2013 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025October 13, 2010 - August 28, 2013
IMPERIAL CAPITAL, LLC
June 21, 2001 - April 8, 2008
UBS SECURITIES LLC
December 18, 2000 - March 5, 2001
CREDIT SUISSE SECURITIES (USA) LLC
April 17, 1998 - December 18, 2000
PERSHING LLC
July 27, 1994 - May 20, 1998
BANC OF AMERICA 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
(7/30/2013)
Exams
FINRA
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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