James L. Greene
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.
James Lee Greene, who also goes by Herbie Greene, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE 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
October 5, 2021 - January 21, 2022
B. RILEY WEALTH MANAGEMENT
June 15, 2018 - January 21, 2022
B. RILEY WEALTH ADVISORS, INC.
April 2, 2018 - January 21, 2022
NATIONAL SECURITIES CORPORATION
December 15, 2015 - February 16, 2018
FIRST COMMAND ADVISORY SERVICES
August 20, 2007 - February 16, 2018
FIRST COMMAND BROKERAGE SERVICES, INC.
August 17, 2007 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
January 18, 2007 - August 24, 2007
VALIC FINANCIAL ADVISORS, INC.
January 10, 2007 - August 24, 2007
VALIC FINANCIAL ADVISORS, INC.
February 17, 1998 - December 18, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
February 11, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
February 11, 1998 - December 18, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 7TO
Date: 3/3/2024
General Securities Representative ExaminationCurrent 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.
