James R. Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Davis JR, who also goes by Jim Davis, Tex Davis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2012 - January 4, 2021
B. RILEY WEALTH MANAGEMENT
December 14, 2012 - January 4, 2021
B. RILEY WEALTH MANAGEMENT
July 31, 2007 - December 17, 2012
SANDERS MORRIS LLC
July 27, 2007 - December 17, 2012
SANDERS MORRIS LLC
July 1, 2003 - July 31, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 31, 2007
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
February 23, 1989 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 3, 1981 - March 2, 1989
ROTAN MOSLE INC.
September 16, 1977 - May 24, 1981
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
February 19, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
January 23, 1974 - May 8, 1974
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 1
Date: 1/15/1974
Registered Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
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.
