Max J. Silberman
Professional summary
Max J Silberman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Max is a previously registered financial advisor and started their career in finance in 1966. Prior to being barred, Max had worked at 10 firms, which includes B. RILEY WEALTH MANAGEMENT, SANDERS MORRIS LLC, OPPENHEIMER & CO. INC., LADENBURG THALMANN & CO. INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., PAINE WEBBER JACKSON & CURTIS INCORPORATED, BLYTH EASTMAN DILLON & CO. INCORPORATED, DUPONT WALSTON INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2009 - June 10, 2009
B. RILEY WEALTH MANAGEMENT
March 6, 2009 - June 10, 2009
B. RILEY WEALTH MANAGEMENT
August 14, 2007 - March 2, 2009
SANDERS MORRIS LLC
May 31, 2006 - March 2, 2009
SANDERS MORRIS LLC
September 9, 2002 - June 1, 2006
OPPENHEIMER & CO. INC.
August 26, 2002 - September 9, 2002
LADENBURG THALMANN & CO. INC.
October 18, 1999 - June 4, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 28, 1989 - October 21, 1999
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - October 7, 1989
UBS FINANCIAL SERVICES INC.
January 2, 1980 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 1, 1974 - December 31, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
February 15, 1966 - February 23, 1974
DUPONT WALSTON, 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: 7/27/1977
AMEX Put and Call ExamSeries 40
Date: 5/22/1966
Registered 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.
