Scott R. Bieling
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.
Scott Robinson Bieling was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1996. Scott had worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2011 - September 11, 2012
B. RILEY WEALTH MANAGEMENT
August 16, 2010 - October 4, 2011
PHOENIX DERIVATIVES GROUP, LLC
August 19, 2008 - August 6, 2010
WEDGE SECURITIES, LLC
August 14, 2006 - July 24, 2008
FTN EQUITY CAPITAL MARKETS CORP.
August 3, 2005 - August 21, 2006
NEW YORK GLOBAL SECURITIES, INC.
September 1, 2004 - June 20, 2005
TERRA NOVA FINANCIAL, LLC
January 21, 2004 - August 27, 2004
BROOKSTREET SECURITIES CORPORATION
July 9, 2002 - May 2, 2003
CREDIT SUISSE SECURITIES (USA) LLC
June 22, 1999 - May 2, 2003
CREDIT SUISSE SECURITIES (USA) LLC
September 6, 1996 - March 2, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
