SL
Stephen C. Loh
B. RILEY WEALTH ADVISORS
Los Angeles, CA 90025-0449
Some features on this profile are disabled
CRD#: 2582796
SL
Professional summary
Stephen Chung-yee Loh, who also goes by Stephen C Loh, Stephen Loh, is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Los Angeles, California and B. RILEY WEALTH MANAGEMENT located in Los Angeles, California.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen C Loh | Stephen Loh
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.
B. RILEY WEALTH INSURANCE; INVESTMENT RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE; AGENT; START DATE: 07/2019; 3 HRS/MONTH DURING SECURITIES TRADING HRS.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Chung-yee Loh'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 29, 2019 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #1: 11100 Santa Monica Blvd Suite 1700, Los Angeles, CA 90025-0449RIA
CRD#: 115927
Los Angeles, CA
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025BD
CRD#: 2543
Los Angeles, CA
Past
July 26, 2019 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
PASADENA, CA
Past
July 6, 2016 - August 1, 2019
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
LOS ANGELES, CA
Past
July 6, 2016 - August 1, 2019
WEDBUSH SECURITIES INC.
BD
CRD#: 877
LOS ANGELES, CA
Past
January 3, 2011 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
TEMPLE CITY, CA
Past
January 3, 2011 - July 7, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
TEMPLE CITY, CA
Past
March 27, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ALHAMBRA, CA
Past
March 27, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ALHAMBRA, CA
Past
September 11, 2003 - February 10, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
BEVERLY HILLS, CA
Past
January 27, 1999 - February 10, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
December 3, 1996 - April 8, 1997
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
November 20, 1995 - October 16, 1996
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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)
IAR
California(7/29/2019)
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Connecticut(2/12/2024)
RR
District of Columbia(7/22/2022)
RR
Florida(7/22/2022)
RR
Hawaii(7/22/2022)
RR
Idaho(6/5/2023)
RR
Indiana(7/22/2022)
RR
Kansas(5/8/2025)
RR
Louisiana(7/22/2022)
RR
Maryland(7/22/2022)
RR
Massachusetts(7/22/2022)
RR
Minnesota(7/22/2022)
RR
Montana(7/22/2022)
RR
Nebraska(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Hampshire(8/14/2025)
RR
New Mexico(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
Ohio(1/5/2023)
RR
Oklahoma(7/22/2022)
RR
Oregon(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Tennessee(6/10/2025)
IAR
Texas(10/21/2021)
RR
Texas(7/22/2022)
RR
Utah(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
