Brett L. Chiles

B. RILEY SECURITIES

Memphis, TN 38119

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CRD#: 3222631

Professional summary

Brett Lawrence Chiles is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Memphis, Tennessee.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1999. Brett has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Brett Lawrence Chiles'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

November 30, 2017 - Present

B. RILEY SECURITIES, INC.

Office #1: 6000 Poplar Avenue Suite 201, Memphis, TN 38119

CRD#: 25027

Memphis, TN

Past

July 12, 2017 - November 30, 2017

B. RILEY & CO., LLC

CRD#: 40355

Memphis, TN

Past

May 1, 2012 - July 18, 2017

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

MEMPHIS, TN

Past

May 1, 2012 - July 18, 2017

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

MEMPHIS, TN

Past

March 18, 2004 - April 17, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

August 24, 1999 - April 17, 2012

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(1/6/2022)

Arkansas
(2/7/2018)

California
(10/16/2024)

Colorado
(1/7/2025)

Connecticut
(11/30/2017)

Delaware
(1/3/2023)

Florida
(10/16/2024)

Georgia
(11/30/2017)

Illinois
(1/10/2024)

Kentucky
(10/16/2024)

Maryland
(1/3/2023)

Massachusetts
(11/30/2017)

New Jersey
(11/30/2017)

New York
(11/30/2017)

North Carolina
(11/30/2017)

South Carolina
(2/7/2018)

Tennessee
(1/3/2023)

Texas
(10/16/2024)

Virginia
(2/7/2018)

Exams

State Security Law Exam

Series 63

Date: 5/14/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/1999

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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

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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Brett L. Chiles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brett Lawrence Chiles's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY & CO., LLC

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/14/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/23/1999

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

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