Joel H. Corniel
Professional summary
Joel H. Corniel is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in New York, New York and B. RILEY SECURITIES, INC. located in Los Angeles, California.
Joel is registered as a RR (Registered Representative) and started their career in finance in 2012. Joel has worked at 5 firms and has passed the Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joel H. Corniel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2017 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 299 Park Avenue 21st Floor, New York, NY 10171November 30, 2017 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025August 11, 2017 - November 30, 2017
B. RILEY & CO., LLC
December 2, 2015 - January 26, 2016
B. RILEY WEALTH MANAGEMENT
January 21, 2015 - November 20, 2015
B. RILEY WEALTH MANAGEMENT
July 9, 2013 - January 28, 2015
DOMINICK & DICKERMAN LLC
April 23, 2012 - May 23, 2013
MSI FINANCIAL SERVICES, 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
(10/2/2024)
(4/3/2017)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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