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KM

Kasey M. Mayne

B. RILEY WEALTH ADVISORS
THE WOODLANDS, TX 77380
Some features on this profile are disabled
CRD#: 5972626
KM

Professional summary

Kasey Marie Mayne, who also goes by Kasey M Hargrove, Kasey Marie Hargrove, is a registered financial advisor currently at B. RILEY WEALTH ADVISORS, INC. located in The Woodlands, Texas and B. RILEY WEALTH MANAGEMENT located in The Woodlands, Texas.

Kasey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Kasey has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kasey M Hargrove | Kasey Marie Hargrove

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.
(1) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; 1780 HUGHES LANDING BLVD. STE 475 THE WOODLANDS, TX 77380; INSURANCE PRODUCTS SALES & SERVICE; REGISTERED SALES ASSISTANT; START DATE: 12/2023; 15 HRS/MONTH, DURING TRADING HRS. (2) JBT WEALTH MANAGEMENT; INVESTMENT- RELATED; 1780 HUGHES LANDING BLVD Blvd. STE 475 THE WOODLANDS, TX 77380; DBA FOR FINANCIAL SECURITIES BUSINESS CONDUCTED THROUGH B. RILEY WEALTH MANAGEMENT; START DATE 11/2023. 40 HOURS / WEEK DEVOTED DURING SECURITIES TRADING HOURS. (3) NOTARY PUBLIC; NOT INVESTMENT-RELATED; 102 FALLOW BUCK DR CONROE, TX; START DATE 02/2020; 1 HR/MONTH 0 DURING TRADING HOURS; CONDUCT NOTARY SERVICES FOR NON-BRWM BUSINESS.... 4) B. RILEY WEALTH INSURANCE; INVESTMENT-RELATED; SAME ADDRESS AS BRWM; FIXED INSURANCE SALES; LICENSED INSURANCE AGENT; START DATE 09/2025; AS MANY HOURS AS NEEDED PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kasey Marie Mayne'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

January 12, 2018 - Present

B. RILEY WEALTH ADVISORS, INC.

Office #1: 1780 Hughes Landing Blvd Suite 475, The Woodlands, TX 77380
RIA
CRD#: 115927
THE WOODLANDS, TX
Current

July 22, 2022 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 1780 Hughes Landing Blvd Suite 475, The Woodlands, TX 77380
BD
CRD#: 2543
The Woodlands, TX
Past

January 12, 2018 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
THE WOODLANDS, TX
Past

June 11, 2015 - January 24, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
THE WOODLANDS, TX
Past

January 8, 2015 - January 24, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
THE WOODLANDS, TX
Past

March 25, 2013 - January 5, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
MONTGOMERY, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD

CRD#: 115927 / SEC#: 801-64837

RIA
Registered Investment Advisory firm - (11/3/2005 Approved)
Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)
California
Registered Investment Advisory firm - (11/14/2005 Terminated)
Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)
Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)
Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)
Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)
Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)
New York
Registered Investment Advisory firm - (11/11/2005 Terminated)
Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)
Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)
South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)
Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)
Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)
Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)
Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Arkansas
(7/22/2022)
RR
California
(7/22/2022)
RR
Colorado
(7/22/2022)
RR
Florida
(7/22/2022)
RR
Illinois
(7/22/2022)
RR
Kansas
(7/22/2022)
RR
Louisiana
(7/22/2022)
RR
Maryland
(7/22/2022)
RR
Mississippi
(7/22/2022)
RR
Missouri
(7/22/2022)
RR
Montana
(7/22/2022)
RR
New York
(7/22/2022)
RR
North Carolina
(10/30/2025)
RR
Oklahoma
(7/22/2022)
RR
South Carolina
(7/22/2022)
IAR
Texas
(1/12/2018)
RR
Texas
(7/22/2022)
RR
Virginia
(7/22/2022)
RR
Washington
(7/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/21/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/2/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BR
B. RILEY WEALTH ADVISORS, INC.
ADVISIUM WEALTH MANAGEMENT LLC | WINSLOW, EVANS & CROCKER | WEST TEXAS INVESTMENTS | WEALTH(K)ARE | UNITED TEAM TAX & FINANCIAL PLANNING | TRADE WINDS WEALTH MANAGEMENT | T.H.E. WEALTH MANAGEMENT | STRATEGIC FAMILY CAPITAL | STONEBRIDGE WEALTH MANAGEMENT. | SISU WEALTH MANAGEMENT | SCHOLAR WEALTH MANAGEMENT | SARNER WEALTH MANAGEMENT LLC | SARATOGA GLOBAL PARTNERS LLC | REC WEALTH MANAGEMENT, LLC. | R.J. CAMPBELL INVESTMENTS LLC | PROATHLETE FINANCIAL GROUP | PRIME WEALTH MANAGMENT | PRICE WEALTH ADVISORY LLC | PRESCOTT FINANCIAL GROUP | PREMIER WEALTH PLANNING | PIRRO FINANCIAL GROUP LLC | PINO WEALTH MANAGEMENT | PADILLA, SINGH & ASSOCIATES WEALTH MANAGEMENT | OPES PRIVATE WEALTH MANAGEMENT | OASIS ASSET MANAGEMENT GROUP | O'CONNELL & ATAROD LLC | NORTHFORK ASSET MANAGEMENT | NORTH SHORE WEALTH MANAGMENT LLC | NATIONAL ASSET MANAGEMENT, INC. | MORRIS FINANCIAL SERVICES | MOORES CREEK CAPITAL PARTNERS | MJB WEALTH MANAGEMENT | MERIDIAN FINANCIAL PARTNERS | MANNA WEALTH MANAGEMENT | LIFETIME ADVISORY | LANDING POINT ADVISORS | LAKESHORE WEALTH GROUP | KEYSTONE FINANCIAL ADVISORS | KENNEY CAPITAL MANAGEMENT LLC | KAPSTONE FINANCIAL ADVISORS | JPS WEALTH MANAGEMENT | JBT WEALTH MANAGEMENT | IRONSIGHT WEALTH MANAGEMENT LLC | INTEGRITY WEALTH ADVISORS | HYPERION WEALTH ADVISORS | HUNTERS GATE CAPITAL | HORIZON MONETARY MANAGEMENT | HILTON HEAD ASSET MANAGEMENT GROUP | HERITAGE FINANCIAL SOLUTIONS | HEMLOCK WEALTH MANAGEMENT | HAWKE FINANCIAL GROUP | GIBSON FINANCIAL GROUP | GENEVA FINANCIAL GROUP LLC | GENESIS FINANCIAL GROUP | GADBERRY FINANCIAL GROUP | FORTE CAPITAL GROUP | FINANCIAL CONSULTANT GROUP | FIDUCIARY FINANCIAL SERVICES | ESSENTIAL ADVISORY SERVICES LLC | EJS WEALTH MANAGEMENT | EISNER WEALTH MANAGEMENT | EINSENHAUER WEALTH MANAGEMENT | E K PEASLEE ASSET MANAGEMENT | CONSILIENCE ASSET MANAGEMENT | CONCORD FINANCIAL GROUP LLC | CAM PRIVATE WEALTH SERVICES LLC | BRIMMER FINANCIAL | BRIGADIER CAPITAL LLC | BOLLING WEALTH MANAGEMENT | BLUE MOUNTAIN WEALTH MANAGEMENT | BIAS INVESTMENT SERVICES LLC | BERGERON & PLAUCHE LLC | BASTION FINANCIAL GROUP | B. RILEY WEALTH ADVISORS, INC. | B. RILEY WEALTH | ASTOR INVESTMENT MANAGEMENT | ASSURED CONCEPTS GROUP LTD

CRD#: 115927 / SEC#: 801-64837

RIA
Registered Investment Advisory firm - (11/3/2005 Approved)
Alaska
Registered Investment Advisory firm - (11/11/2005 Terminated)
California
Registered Investment Advisory firm - (11/14/2005 Terminated)
Florida
Registered Investment Advisory firm - (11/11/2005 Terminated)
Georgia
Registered Investment Advisory firm - (11/11/2005 Terminated)
Idaho
Registered Investment Advisory firm - (11/14/2005 Terminated)
Maryland
Registered Investment Advisory firm - (11/11/2005 Terminated)
Massachusetts
Registered Investment Advisory firm - (11/11/2005 Terminated)
Missouri
Registered Investment Advisory firm - (11/11/2005 Terminated)
New York
Registered Investment Advisory firm - (11/11/2005 Terminated)
Ohio
Registered Investment Advisory firm - (11/11/2005 Terminated)
Oregon
Registered Investment Advisory firm - (11/11/2005 Terminated)
South Carolina
Registered Investment Advisory firm - (11/11/2005 Terminated)
Texas
Registered Investment Advisory firm - (11/14/2005 Terminated)
Virginia
Registered Investment Advisory firm - (11/15/2005 Terminated)
Washington
Registered Investment Advisory firm - (11/11/2005 Terminated)
Wisconsin
Registered Investment Advisory firm - (11/14/2005 Terminated)
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Contact information

Main Address
40 S. Main St. Suite 1600, Memphis, TN 38103
Mailing Address
Phone number
(901) 251-1330
Established
Firm type
Fiscal year end
# of Employees
350

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 BRWA ADV 2A WRAP FEE BROCHURE (10/20/2025)
2025 BRWA ADV 2A FIRM BROCHURE (10/20/2025)

Regulatory assets under management

Total Number of Accounts17,372
AUM (Assets Under Management)$ 7,027,862,844

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/21/2025
Cover Page
Report
11/27/2024
Cover Page
Report
05/26/2023
Cover Page
Report
11/28/2022
Cover Page
Report

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 ADVISORS, INC.

CRD#: 115927The Woodlands, TX 77380

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