Gregory A. Crooks

B. RILEY SECURITIES

New York, NY 10171

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CRD#: 5388481

Professional summary

Gregory Arthur Crooks, who also goes by Gregory Crooks, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 2007. Gregory has worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gregory Crooks

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 Gregory Arthur Crooks'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

November 14, 2025 - Present

B. RILEY SECURITIES, INC.

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171

CRD#: 25027

New York, NY

Past

February 10, 2025 - September 11, 2025

BTIG, LLC

CRD#: 122225

New York, NY

Past

April 19, 2021 - July 2, 2024

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 12, 2017 - April 20, 2021

H.C.WAINWRIGHT & CO., LLC

CRD#: 375

NEW YORK, NY

Past

September 24, 2013 - May 5, 2017

JEFFERIES LLC

CRD#: 2347

NEW YORK, NY

Past

July 30, 2010 - December 8, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 1, 2008 - June 30, 2010

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

September 10, 2007 - October 1, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

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

New Jersey
(11/14/2025)

New York
(11/14/2025)

Exams

State Security Law Exam

Series 63

Date: 9/12/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2007

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	CHIEF EXECUTIVE OFFICER	5834046
INNIS, KATHLEEN GIBBONS	CHIEF COMPLIANCE OFFICER	2112837
MCCOY, MICHAEL RICHARD	CHIEF FINANCIAL OFFICER	4743031
MOORE, ANDREW THOMAS	CHAIRMAN	4574997
SCHUTT, JANELLE REGINA	CONTROLLER	2853858

Disclosures

Regulatory Event	12
Civil Event	1
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Gregory A. Crooks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory Arthur Crooks's CRS (Customer Relationship Summary).

Certified licenses

Experience

BTIG, LLC

CANTOR FITZGERALD & CO.

H.C.WAINWRIGHT & CO., LLC

JEFFERIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/2007

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/8/2007

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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