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Patrice Mcnicoll

YORKVILLE SECURITIES
Moorpark, CA
Some features on this profile are disabled
CRD#: 3199758
PM

Professional summary

Patrice Mcnicoll is a registered financial professional currently at YORKVILLE SECURITIES, LLC located in Moorpark, California and B. RILEY SECURITIES, INC. located in Los Angeles, California.

Patrice is registered as a RR (Registered Representative) and started their career in finance in 1999. Patrice has worked at 8 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 Patrice Mcnicoll'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 1, 2025 - Present

YORKVILLE SECURITIES, LLC

BD
CRD#: 330480
Moorpark, CA
Current

May 18, 2026 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025
BD
CRD#: 25027
Los Angeles, CA
Past

July 14, 2017 - November 30, 2017

B. RILEY & CO., LLC

BD
CRD#: 40355
NEW YORK, NY
Past

September 1, 2015 - September 26, 2024

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Los Angeles, CA
Past

January 8, 2010 - August 25, 2020

MLV & CO. LLC

BD
CRD#: 150959
Arlington, VA
Past

May 4, 2007 - January 15, 2010

WM SMITH & CO.

BD
CRD#: 30777
NEW YORK, NY
Past

May 6, 2002 - February 16, 2007

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

November 22, 2000 - December 19, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

May 19, 1999 - November 21, 2000

BENTLEY SECURITIES CORPORATION

BD
CRD#: 25759
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
California
(6/1/2025)
RR
New Jersey
(6/6/2025)
RR
New York
(6/1/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/1999
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: 4/26/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/18/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA
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)

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

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Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Moorpark, CA

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