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Michael Z. Biener

B. RILEY SECURITIES
Los Angeles, CA 90025
Some features on this profile are disabled
CRD#: 5990022
MB

Professional summary

Michael Zev Biener is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California and B. RILEY WEALTH MANAGEMENT located in Los Angeles, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Zev Biener'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 17, 2019 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025
BD
CRD#: 25027
Los Angeles, CA
Current

October 19, 2021 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025
BD
CRD#: 2543
Los Angeles, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/18/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 1/17/2019
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)
BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCHIEF ADMINISTRATIVE OFFICER2229865
MULLEN, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER1428116
ORTEGA, DANIELCHIEF COMPLIANCE OFFICER3095215
SWAIN, MARY ANN NELLCHIEF FINANCIAL OFFICER6484916
ZANONE, PHILIP RICHARD JRCHIEF OPERATING OFFICER2135221

Regulatory assets under management

Total Number of Accounts9,621
AUM (Assets Under Management)$ 4,118,839,755

Disclosures

Regulatory Event18
Arbitration4
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/28/2022
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 MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CRD#: 2543Los Angeles, CA 90025

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