Adam T. Posnack
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.
Adam Todd Posnack was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1997. Adam had worked at 8 firms and has passed the Series 63, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2012 - August 12, 2014
B. RILEY SECURITIES, INC.
August 20, 2008 - May 16, 2012
JEFFERIES LLC
October 30, 2001 - May 30, 2008
DEUTSCHE BANK SECURITIES INC.
September 22, 1999 - October 8, 2001
KBC SECURITIES USA LLC
August 19, 1999 - November 1, 1999
D.E. SHAW SECURITIES, L.L.C.
January 28, 1998 - May 24, 2000
TULLETT PREBON FINANCIAL SERVICES LLC
December 20, 1997 - April 14, 1998
LIBERTY BROKERS
February 4, 1997 - November 21, 1997
W.A. CAPITAL MARKETS
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 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
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.
