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BR

Bryce W. Rowe

Some features on this profile are disabled
CRD#: 4157842
BR

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.

Bryce Wells Rowe was a registered financial professional .

Bryce is a previously registered financial professional and started their career in finance in 2000. Bryce had worked at 10 firms and has passed the Series 66, Series 16, Series 50, SIE, Series 87 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 5, 2022 - February 10, 2025

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
ARLINGTON, VA
Past

January 5, 2021 - August 9, 2022

HOVDE GROUP, LLC

BD
CRD#: 25425
INVERNESS, IL
Past

July 30, 2019 - January 20, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
RICHMOND, VA
Past

July 29, 2019 - January 20, 2021

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

May 15, 2006 - March 28, 2019

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
Richmond, VA
Past

April 20, 2006 - March 28, 2019

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
RICHMOND, VA
Past

December 15, 2005 - March 27, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
RICHMOND, VA
Past

December 1, 2005 - March 27, 2006

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
RICHMOND, VA
Past

February 21, 2003 - January 24, 2006

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
RICHMOND, VA
Past

February 10, 2003 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

June 14, 2002 - December 20, 2002

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

July 26, 2000 - May 22, 2002

A&S CAPITAL ADVISORS, INC.

RIA
CRD#: 108827
RICHMOND, VA
Past

May 16, 2000 - May 22, 2002

ANDERSON & STRUDWICK, INCORPORATED

BD
CRD#: 48
RICHMOND, VA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/21/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 16
Date: 10/20/2020
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 50
Date: 4/18/2019
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/29/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 5/15/2000
General Securities Representative Examination

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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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.

Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027

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