Larry J. Goldsmith
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.
Larry Jay Goldsmith, who also goes by Larry J Kretzer, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1976. Larry had worked at 4 firms and has passed the Series 65, Series 63, SIE, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2009 - February 6, 2019
B. RILEY WEALTH MANAGEMENT
March 16, 2009 - February 5, 2019
B. RILEY WEALTH MANAGEMENT
May 6, 2004 - March 16, 2009
STANFORD GROUP COMPANY
January 13, 2004 - February 3, 2004
UBS FINANCIAL SERVICES INC.
January 9, 2004 - March 16, 2009
STANFORD GROUP COMPANY
October 17, 1979 - February 3, 2004
UBS FINANCIAL SERVICES INC.
July 26, 1976 - October 20, 1983
MUNICIPAL SECURITIES, INCORPORATED
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
PC
Date: 6/27/1980
AMEX Put and Call ExamSeries 1
Date: 10/12/1976
Registered Representative ExaminationSeries 40
Date: 12/19/1976
Registered Principal ExaminationCurrent 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 |
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.
