Michael J. Lowell
Professional summary
Michael Joseph Lowell MR., who also goes by Michael J. Lowell Mr., is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Costa Mesa, California.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael 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 Michael Joseph Lowell MR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 600 Anton Boulevard Suite 1050, Costa Mesa, CA 92626June 29, 2004 - November 30, 2017
B. RILEY & CO., LLC
February 14, 2001 - June 3, 2004
THE SEIDLER COMPANIES INCORPORATED
September 7, 2000 - November 29, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/30/2017)
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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