Lee A. Korhumel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lee Alan Korhumel, who also goes by Lee A Korhumel, was a registered financial advisor .
Lee is a previously registered financial advisor and started their career in finance in 1970. Lee had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2009 - June 2, 2014
B. RILEY WEALTH MANAGEMENT
January 2, 2002 - June 2, 2014
B. RILEY WEALTH MANAGEMENT
January 16, 1996 - January 11, 2002
CHICAGO CAPITAL, INC.
May 29, 1981 - January 15, 1996
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 13, 1978 - February 24, 1986
MADISON ASSET GROUP, INC.
October 30, 1974 - June 6, 1981
ALM, KANE, ROGERS & CO.
August 18, 1970 - October 9, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 2/1/1983
AMEX Put and Call ExamSeries 1
Date: 8/5/1970
Registered Representative ExaminationSeries 8
Date: 12/14/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
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.
