NH
Nicholas J. Harrison
B. RILEY WEALTH MANAGEMENT
Westbury, NY 11590
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CRD#: 4509581
NH
Professional summary
Nicholas Joseph Harrison, who also goes by Nicholas Harrison, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Westbury, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2002. Nicholas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Harrison
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Joseph Harrison's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 22, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 1400 Old Country Road Suite 302a, Westbury, NY 11590BD
CRD#: 2543
Westbury, NY
Past
July 24, 2007 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
WESTBURY, NY
Past
October 6, 2003 - August 14, 2007
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
WESTBURY, NY
Past
March 7, 2002 - November 4, 2003
CONTINENTAL BROKER-DEALER CORP.
BD
CRD#: 14048
CARLE PLACE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/22/2022)
RR
Arizona(7/22/2022)
RR
Arkansas(7/22/2022)
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(3/23/2023)
RR
Florida(7/22/2022)
RR
Georgia(7/22/2022)
RR
Idaho(7/22/2022)
RR
Illinois(7/22/2022)
RR
Indiana(7/22/2022)
RR
Iowa(7/22/2022)
RR
Kansas(7/22/2022)
RR
Kentucky(7/22/2022)
RR
Louisiana(7/22/2022)
RR
Maryland(7/22/2022)
RR
Massachusetts(7/22/2022)
RR
Michigan(7/22/2022)
RR
Minnesota(7/22/2022)
RR
Missouri(7/22/2022)
RR
Nebraska(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New Mexico(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(7/22/2022)
RR
North Dakota(7/22/2022)
RR
Ohio(7/22/2022)
RR
Oklahoma(7/22/2022)
RR
Oregon(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
South Carolina(7/22/2022)
RR
Tennessee(3/17/2023)
RR
Texas(7/22/2022)
RR
Utah(7/22/2022)
RR
Virginia(7/22/2022)
RR
Washington(7/22/2022)
RR
West Virginia(7/22/2022)
RR
Wisconsin(7/22/2022)
RR
Wyoming(7/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS
CRD#: 2543 / SEC#: 801-67275, 8-31206
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 South Main Suite 1800, Memphis, TN 38103
Mailing Address
40 South Main Suite 1600, Memphis, TN 38103
Phone number
(901) 251-1330
Established
Tennessee since 01/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
250
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.
