Todd P. Scholl
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.
Todd Patrick Scholl was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1998. Todd had worked at 9 firms and has passed the Series 66, Series 63, Series 87, Series 7, Series 52 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2013 - May 29, 2014
B. RILEY WEALTH MANAGEMENT
August 1, 2011 - April 23, 2013
D/B/A CLARKSONS PLATOU SECURITIES
June 11, 2008 - July 29, 2011
RBC CAPITAL MARKETS, LLC
January 27, 2006 - December 20, 2006
RAYMOND JAMES & ASSOCIATES, INC.
April 14, 2004 - June 30, 2005
U.S. GLOBAL BROKERAGE, INC.
August 16, 2001 - July 2, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2000 - December 5, 2000
MORGAN STANLEY DW INC.
September 14, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
May 4, 1998 - August 20, 1999
AMERIPRISE ADVISOR SERVICES, INC.
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.
