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ED

Eric G. Dobi

B. RILEY SECURITIES
New York, NY 10171
Some features on this profile are disabled
CRD#: 2946629
ED

Professional summary

Eric Gregory Dobi is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 9 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Eric Gregory Dobi'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

June 4, 2025 - Present

B. RILEY SECURITIES, INC.

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171
BD
CRD#: 25027
New York, NY
Past

November 6, 2023 - May 30, 2025

WEDBUSH SECURITIES INC.

BD
CRD#: 877
NEW YORK, NY
Past

March 20, 2018 - October 14, 2022

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
New York, NY
Past

August 26, 2014 - January 13, 2017

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 27, 2002 - April 9, 2014

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

July 26, 1999 - July 17, 2002

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

September 1, 1998 - July 22, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

September 1, 1998 - November 24, 1999

MERRILL LYNCH GOVERNMENT SECURITIES INC.

BD
CRD#: 19693
NEW YORK, NY
Past

October 8, 1997 - June 30, 1998

LEHMAN BROTHERS INC.

BD
CRD#: 7506
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
Arizona
(6/4/2025)
RR
Arkansas
(8/14/2025)
RR
California
(6/4/2025)
RR
Colorado
(6/4/2025)
RR
Connecticut
(6/4/2025)
RR
District of Columbia
(6/5/2025)
RR
Florida
(6/4/2025)
RR
Georgia
(6/4/2025)
RR
Illinois
(6/4/2025)
RR
Indiana
(6/4/2025)
RR
Kansas
(6/4/2025)
RR
Maryland
(6/4/2025)
RR
Massachusetts
(6/6/2025)
RR
Michigan
(6/4/2025)
RR
Mississippi
(6/4/2025)
RR
Missouri
(6/4/2025)
RR
Nevada
(6/9/2025)
RR
New Jersey
(6/4/2025)
RR
New York
(6/4/2025)
RR
North Carolina
(6/12/2025)
RR
North Dakota
(6/4/2025)
RR
Ohio
(6/16/2025)
RR
Pennsylvania
(6/4/2025)
RR
South Carolina
(6/4/2025)
RR
Tennessee
(6/4/2025)
RR
Texas
(6/4/2025)
RR
Utah
(6/4/2025)
RR
Virginia
(6/4/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

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)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCHAIRMAN4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

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 SECURITIES, INC.

CRD#: 25027New York, NY 10171

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