James G. Nixon
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.
James Gregory Nixon was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 2007. James had worked at 6 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2014 - May 6, 2014
B. RILEY WEALTH MANAGEMENT
April 25, 2014 - May 6, 2014
B. RILEY WEALTH MANAGEMENT
October 1, 2012 - May 2, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - May 2, 2014
J.P. MORGAN SECURITIES LLC
April 26, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 19, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 24, 2010 - April 5, 2011
SECURIAN FINANCIAL SERVICES, INC.
August 13, 2010 - April 5, 2011
SECURIAN FINANCIAL SERVICES, INC.
June 1, 2009 - July 27, 2010
MORGAN STANLEY
June 1, 2009 - July 27, 2010
MORGAN STANLEY
April 23, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
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
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.
