Sean Willis
Professional summary
Sean Willis, who also goes by Sean Daniel Willis, Sean Willis, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2018. Sean has worked at 3 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Willis's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 10, 2018 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025June 14, 2021 - April 11, 2022
NATIONAL SECURITIES CORPORATION
October 23, 2018 - October 31, 2019
B. RILEY WEALTH MANAGEMENT
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
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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