Pakawat Pilouk
Professional Summary
Pakawat Pilouk, who also goes by Pat Pilouk, is a registered financial advisor currently at B. RILEY SECURITIES, INC. located in Greenbrae, California. Pakawat is registered as a RR (Registered Representative) and started their career in finance in 2012. Pakawat has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pat Pilouk
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years in the financial services industry
Current & Past Employments
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Current Firm
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.
Contact Information
Main Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Mailing Address
1655 Fort Myer Drive Suite 1200, Arlington, VA 22209Phone Number
(310) 966-1444Established
Delaware since 06/16/1989Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | — |
| MCNICOLL, PATRICE | CO-PRESIDENT | 3199758 |
| MOORE, ANDREW THOMAS | CHIEF EXECUTIVE OFFICER | 4574997 |
| NARDINI, JOSEPH ROBERT | CO-PRESIDENT | 2387386 |
| PIGOTT, FRANK | GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER | 8052475 |
| RILEY, BRYANT RICHARD | EXECUTIVE CHAIRMAN | 1702453 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
Disclosures
Regulatory Event
12Civil Event
1Arbitration
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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.
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State Registrations and Notice Filings
(7/11/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2012About the Series 79 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Pakawat Pilouk's CRS (Customer Relationship Summary).
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