Nissim Aboodi
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.
Nissim Aboodi was a registered financial professional .
Nissim is a previously registered financial professional and started their career in finance in 1971. Nissim had worked at 8 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2015 - June 5, 2019
B. RILEY WEALTH MANAGEMENT
January 21, 2015 - June 5, 2019
B. RILEY WEALTH MANAGEMENT
August 8, 2014 - January 26, 2015
DOMINICK & DICKERMAN LLC
October 17, 2002 - January 26, 2015
DOMINICK & DICKERMAN LLC
November 27, 2000 - October 3, 2002
DOMINICK & DICKERMAN LLC
October 14, 1982 - October 12, 1999
KALB, VOORHIS & CO., LLC
May 17, 1976 - September 8, 1982
COLIN, HOCHSTIN CO.
September 19, 1975 - December 19, 2014
QUESTRION RESEARCH CORPORATION
May 9, 1974 - July 11, 1976
MOORE, LEONARD & LYNCH, INCORPORATED
June 29, 1971 - April 25, 1974
COENEN & CO INC
April 13, 1971 - June 21, 1971
R. W. PRESSPRICH & CO. INCORPORATED
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
PC
Date: 10/9/1978
AMEX Put and Call ExamSeries 1
Date: 4/12/1971
Registered Representative ExaminationF04
Date: 8/6/1975
Financial Principal ExaminationSeries 00
Date: 8/4/1975
General Securities Principal 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 |
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.
