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MD

Mick Dadlani

B. RILEY WEALTH MANAGEMENT
RED BANK, NJ 07701
Some features on this profile are disabled
CRD#: 2724655
MD

Professional summary

Mick Dadlani, who also goes by Pradeep Kumar Dadlani, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Red Bank, New Jersey.

Mick is registered as a RR (Registered Representative) and started their career in finance in 1996. Mick has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pradeep Kumar Dadlani

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mick Dadlani's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 22, 2022 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 10 Broad Street Suite 203/303, Red Bank, NJ 07701
BD
CRD#: 2543
RED BANK, NJ
Past

July 31, 2015 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
WASHINGTON, DC
Past

December 23, 2014 - August 3, 2015

JHS CAPITAL ADVISORS, LLC

BD
CRD#: 112097
Washington, DC
Past

December 22, 2014 - August 3, 2015

JHS CAPITAL ADVISORS, LLC

RIA
CRD#: 112097
Washington, DC
Past

February 15, 2013 - December 12, 2014

BARCLAYS CAPITAL INC.

RIA
CRD#: 19714
WASHINGTON, DC
Past

February 15, 2013 - December 12, 2014

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
WASHINGTON, DC
Past

June 1, 2009 - March 4, 2013

MORGAN STANLEY

RIA
CRD#: 149777
WASHINGTON, DC
Past

June 1, 2009 - March 4, 2013

MORGAN STANLEY

BD
CRD#: 149777
WASHINGTON, DC
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
WASHINGTON, DC
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
WASHINGTON, DC
Past

September 9, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WASHINGTON, DC
Past

September 9, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
WASHINGTON, DC
Past

July 29, 1999 - September 13, 2005

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
BETHESDA, MD
Past

April 29, 1996 - September 13, 2005

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
Alabama
(7/22/2022)
RR
Arizona
(7/22/2022)
RR
California
(7/22/2022)
RR
Colorado
(7/22/2022)
RR
Connecticut
(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
Illinois
(7/22/2022)
RR
Indiana
(7/22/2022)
RR
Iowa
(7/22/2022)
RR
Kansas
(7/22/2022)
RR
Kentucky
(7/22/2022)
RR
Louisiana
(7/22/2022)
RR
Maryland
(7/22/2022)
RR
Massachusetts
(7/22/2022)
RR
Michigan
(7/22/2022)
RR
Montana
(7/22/2022)
RR
New Hampshire
(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
North Dakota
(7/22/2022)
RR
Ohio
(7/22/2022)
RR
Oklahoma
(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
Utah
(7/22/2022)
RR
Virginia
(7/22/2022)
RR
West Virginia
(7/22/2022)
RR
Wyoming
(7/22/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/9/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/1/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)
BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCHIEF ADMINISTRATIVE OFFICER2229865
MULLEN, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER1428116
ORTEGA, DANIELCHIEF COMPLIANCE OFFICER3095215
SWAIN, MARY ANN NELLCHIEF FINANCIAL OFFICER6484916
ZANONE, PHILIP RICHARD JRCHIEF OPERATING OFFICER2135221

Regulatory assets under management

Total Number of Accounts9,621
AUM (Assets Under Management)$ 4,118,839,755

Disclosures

Regulatory Event18
Arbitration4
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/28/2022
Cover Page
Report

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

B. RILEY WEALTH MANAGEMENT

CRD#: 2543Red Bank, NJ 07701

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