RH
Rahul Halwasiya
B. RILEY WEALTH MANAGEMENT
Miami, FL 33132
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CRD#: 5489762
RH
Professional summary
Rahul Halwasiya is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Miami, Florida.
Rahul is registered as a RR (Registered Representative) and started their career in finance in 2008. Rahul has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Rahul Halwasiya'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®
NoneExperience
Current
June 28, 2022 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 14 Ne 1st Ave. Suite 515, Miami, FL 33132BD
CRD#: 2543
Miami, FL
Past
August 8, 2012 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
Miami, FL
Past
July 20, 2009 - December 19, 2012
VFINANCE INVESTMENTS, INC
BD
CRD#: 44962
MIAMI, FL
Past
July 30, 2008 - July 24, 2009
AURA ASSET MANAGEMENT, INC.
RIA
CRD#: 129402
WEST PALM BEACH, FL
Past
March 12, 2008 - July 24, 2009
AURA FINANCIAL SERVICES, INC.
BD
CRD#: 42822
MIAMI, FL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(7/22/2022)
RR
Arizona(7/22/2022)
RR
Arkansas(1/30/2024)
RR
California(7/22/2022)
RR
Colorado(7/22/2022)
RR
Connecticut(7/22/2022)
RR
Delaware(7/22/2022)
RR
District of Columbia(7/22/2022)
RR
Florida(7/27/2022)
RR
Georgia(7/22/2022)
RR
Illinois(7/22/2022)
RR
Indiana(7/22/2022)
RR
Kentucky(3/15/2023)
RR
Louisiana(7/22/2022)
RR
Maryland(7/22/2022)
RR
Michigan(7/22/2022)
RR
Mississippi(7/22/2022)
RR
Missouri(7/22/2022)
RR
Nevada(7/22/2022)
RR
New Hampshire(7/22/2022)
RR
New Jersey(7/22/2022)
RR
New York(7/22/2022)
RR
North Carolina(8/16/2022)
RR
Ohio(7/22/2022)
RR
Oklahoma(7/22/2022)
RR
Pennsylvania(7/22/2022)
RR
Puerto Rico(7/22/2022)
RR
Rhode Island(7/22/2022)
RR
South Carolina(7/22/2022)
RR
Tennessee(7/22/2022)
RR
Texas(7/22/2022)
RR
Virgin Islands(7/22/2022)
RR
Virginia(7/22/2022)
RR
West Virginia(7/22/2022)
RR
Wisconsin(7/26/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
B. RILEY WEALTH MANAGEMENT
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS
CRD#: 2543 / SEC#: 801-67275, 8-31206
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
40 South Main Suite 1800, Memphis, TN 38103
Mailing Address
40 South Main Suite 1600, Memphis, TN 38103
Phone number
(901) 251-1330
Established
Tennessee since 01/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
250
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.
Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Miami, FL 33132TRUST BUT VERIFY
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