Ana Bautista
Professional summary
Ana Bautista, who also goes by Ana Elena Bautista, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Ana is registered as a RR (Registered Representative) and started their career in finance in 1999. Ana has worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ana Bautista's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2019 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025February 4, 2019 - August 31, 2022
B. RILEY WEALTH MANAGEMENT
January 1, 2004 - March 11, 2005
JEFFERIES BACHE SECURITIES, LLC
April 30, 2003 - January 1, 2004
PRUDENTIAL EQUITY GROUP, LLC
February 27, 2002 - March 31, 2003
COLLINS STEWART (SECURITIES) INC.
March 26, 2001 - February 26, 2002
FHN FINANCIAL SECURITIES CORP.
April 1, 1999 - November 29, 1999
MONEX SECURITIES, 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
(6/25/2019)
Exams
Series 7TO
Date: 2/4/2019
General 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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