David J. Hill
Professional summary
David John Hill is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 8 firms and has passed the Series 63, Series 72, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David John Hill's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2018 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025July 26, 2007 - June 26, 2019
B. RILEY WEALTH MANAGEMENT
April 14, 2005 - July 16, 2007
BROOKSTREET SECURITIES CORPORATION
December 15, 2004 - March 7, 2005
PUGLISI & CO.
February 3, 2004 - December 17, 2004
BROOKSTREET SECURITIES CORPORATION
July 30, 2002 - December 13, 2002
PUGLISI & CO.
November 13, 2001 - July 18, 2002
BROOKSTREET SECURITIES CORPORATION
July 3, 2000 - October 17, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
June 15, 1999 - July 3, 2000
ASIEL & CO. LLC
October 1, 1996 - March 25, 1998
CANTOR FITZGERALD SECURITIES
October 1, 1996 - March 25, 1998
CANTOR FITZGERALD & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/10/2024)
(1/9/2018)
(2/5/2018)
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
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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