Bradford J. Tobin

B. RILEY SECURITIES

Los Angeles, CA 90025

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CRD#: 4843823

Professional summary

Bradford J Tobin is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.

Bradford is registered as a RR (Registered Representative) and started their career in finance in 2005. Bradford has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradford J Tobin's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 17, 2024 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025

CRD#: 25027

Los Angeles, CA

Past

August 1, 2013 - June 18, 2024

TRUIST SECURITIES, INC.

CRD#: 6271

New York, NY

Past

April 26, 2011 - June 4, 2013

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 1, 2010 - May 18, 2011

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

November 1, 2005 - August 2, 2010

BREAN CAPITAL, LLC

CRD#: 23723

NEW YORK, NY

Past

January 20, 2005 - March 14, 2006

BREAN MURRAY & CO., INC.

CRD#: 7541

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Idaho
(6/17/2024)

Exams

State Security Law Exam

Series 63

Date: 4/6/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/2005

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Mailing Address

11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025

Phone number

(310) 966-1444

Established

Delaware since 06/16/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
B. RILEY SECURITIES HOLDINGS, INC.	DIRECT PARENT
BAKER, JAMES RICHARD	CO-CHIEF EXECUTIVE OFFICER	5834046
INNIS, KATHLEEN GIBBONS	CHIEF COMPLIANCE OFFICER	2112837
MCCOY, MICHAEL RICHARD	CHIEF FINANCIAL OFFICER	4743031
MOORE, ANDREW THOMAS	CO-CHIEF EXECUTIVE OFFICER	4574997
SCHUTT, JANELLE REGINA	CONTROLLER	2853858

Disclosures

Regulatory Event	12
Civil Event	1
Arbitration	1

Red Flags

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Bradford J. Tobin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradford J Tobin's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUIST SECURITIES, INC.

OPPENHEIMER & CO. INC.

MAXIM GROUP LLC

BREAN CAPITAL, LLC

BREAN MURRAY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/6/2005

SIE

Date: 10/1/2018

Series 7

Date: 1/19/2005

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

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