Dawn M. Farrell
Professional summary
Dawn Marie Farrell, who also goes by Dawn M Farrell, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Chicago , Illinois.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 2001. Dawn has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Marie Farrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 5, 2002 - Present
B. RILEY SECURITIES, INC.
Office #1: 151 N Franklin St Suite 500, Chicago , IL 60606August 28, 2017 - October 31, 2019
B. RILEY WEALTH MANAGEMENT
July 6, 2017 - November 30, 2017
B. RILEY & CO., LLC
May 16, 2001 - November 19, 2002
STIFEL, NICOLAUS & COMPANY, 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
(10/21/2025)
(11/17/2022)
(10/21/2025)
(10/23/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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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