DB
Daniel M. Besse
B. RILEY WEALTH ADVISORS
Fairfield, CT 06824
Some features on this profile are disabled
CRD#: 4664012
DB
Professional summary
Daniel Michael Besse, CIMA® is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in Fairfield, Connecticut.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Daniel has worked at 11 firms and has passed the Series 66, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) LANDING POINT ADVISORS; INVESTMENT-RELATED; SAME ADDRESS AS BRWA; DBA FOR ADVISORY BUSINESS; ALL BUSINESS CONDUCTED THROUGH B. RILEY WEALTH ADVISORS; CEO; START DATE 12/2022; CEO; 50 HRS/MONTH, ALL DURING SECURITIES TRADING HRS... (2) PAMPERED PANT, LLC; CHILDREN'S CLOTHING BRAND; VICE PRESIDENT; START DATE: 01/2021; CO-FOUNDER; EASTON, CT; 20 HRS/MONTH, 5 DURING TRADING HRS; NOT INVESTMENT-RELATED... (3) FSG LLC; INVESTMENT-RELATED; START DATE: 05/2023; FAIRFIELD, CT; ADVISING AND SELLING LIFE INSURANCE THROUGH FSG AS GENERAL AGENT; 10 HRS/MONTH, ALL DURING SECURITIES TRADING HRS... (4) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED;79B SANDFORD ST. FAIRFIELD CT 06824; LIFE INSURANCE SALES; AGENT; START DATE: 2023; 5 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS. (5) FORTIFY INSURANCE GROUP; INVESTMENT RELATED; 24 PUNCH BOWL DR WESTPORT CT 06880; LIFE INSURANCE SALES; AGENT; START DATE 1/2025; 8 HRS/MONTH DEVOTED DURING SECURITIES TRADING HRS. (6) EASTON BASEBALL LEAGUE; NOT INVESTMENT RELATED; TREASURER; START DATE 10/2025; 74 DEEPWOODS RD. EASTON CT; 2HRS/MONTH DEVOTED DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Michael Besse'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®
Experience
Current
December 20, 2019 - Present
B. RILEY WEALTH ADVISORS, INC.
Office #1: 79b Sanford St., Fairfield, CT 06824RIA
CRD#: 115927
Fairfield, CT
Past
March 27, 2018 - January 2, 2020
STRATOS WEALTH ADVISORS LLC
RIA
CRD#: 283816
Westport, CT
Past
December 11, 2014 - March 30, 2018
CHOREO, LLC
RIA
CRD#: 111221
WESTPORT, CT
Past
February 28, 2014 - December 1, 2014
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WESTPORT, CT
Past
September 28, 2012 - March 7, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTPORT, CT
Past
December 22, 2011 - January 5, 2015
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
WESTPORT, CT
Past
December 9, 2011 - September 28, 2012
SPIRE SECURITIES, LLC
BD
CRD#: 144131
WESTPORT, CT
Past
June 1, 2009 - January 3, 2012
MORGAN STANLEY
RIA
CRD#: 149777
FAIRFIELD, CT
Past
June 1, 2009 - January 3, 2012
MORGAN STANLEY
BD
CRD#: 149777
FAIRFIELD, CT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
FAIRFIELD, CT
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
FAIRFIELD, CT
Past
November 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
FAIRFIELD, CT
Past
November 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
FAIRFIELD, CT
Past
January 9, 2006 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FAIRFIELD, CT
Past
December 6, 2004 - November 28, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FAIRFIELD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Connecticut(12/20/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD
CRD#: 115927 / SEC#: 801-64837
RIA
Registered Investment Advisory firm - (11/3/2005 Approved)Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)California
Registered Investment Advisory firm - (11/14/2005 Terminated)Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)New York
Registered Investment Advisory firm - (11/11/2005 Terminated)Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17,372 |
| AUM (Assets Under Management) | $ 7,027,862,844 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/21/2025 | ||
| 11/27/2024 | ||
| 05/26/2023 | ||
| 11/28/2022 |
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.
