Allison V. Petchenick
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.
Allison Virginia Petchenick, who also goes by Allison VIrginia Brogan, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2000. Allison had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2015 - March 31, 2016
B. RILEY CAPITAL MANAGEMENT
January 2, 2014 - June 23, 2015
B. RILEY ASSET MANAGEMENT, LLC
March 14, 2008 - April 16, 2014
B. RILEY & CO., LLC
January 7, 2008 - July 4, 2015
RILEY INVESTMENT MANAGEMENT
July 27, 2005 - March 31, 2016
B. RILEY & CO., LLC
September 10, 2004 - July 13, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
October 28, 2003 - April 6, 2004
STOCKS 4 LESS, INC.
August 29, 2002 - October 28, 2003
NATIONAL CLEARING CORP.
October 18, 2000 - August 19, 2002
SHARE KING, LLC
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
Current Firm
B. RILEY CAPITAL MANAGEMENT
CRD#: 160510 / SEC#: 801-73824
Contact information
Regulatory assets under management
| Total Number of Accounts | 4 |
| AUM (Assets Under Management) | $ 200,431,932 |
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.
