George J. Karapistolis
Professional summary
George John Karapistolis, who also goes by George Karas, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Westbury, New York.
George is registered as a RR (Registered Representative) and started their career in finance in 2001. George has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George John Karapistolis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 1400 Old Country Road Suite 302a, Westbury, NY 11590March 29, 2018 - July 22, 2022
NATIONAL SECURITIES CORPORATION
October 28, 2015 - May 9, 2018
AXIOM CAPITAL MANAGEMENT, INC.
October 31, 2011 - October 29, 2015
ROCKWELL GLOBAL CAPITAL LLC
August 19, 2008 - October 27, 2011
J.P. TURNER & COMPANY, L.L.C.
May 23, 2006 - August 15, 2008
CETERA WEALTH SERVICES, LLC
April 21, 2005 - May 23, 2006
WESTROCK ADVISORS, INC.
November 15, 2001 - April 25, 2005
J.P. TURNER & COMPANY, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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(3/10/2025)
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Exams
Series 62
Date: 11/14/2001
Corporate Securities Limited Representative ExaminationFINRA
Current 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.
