Mary Ann N. Swain
Professional summary
Mary Ann Nell Swain, who also goes by Mary Ann N. Mcdaniel, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Memphis, Tennessee.
Mary Ann is registered as a RR (Registered Representative) and started their career in finance in 2021. Mary Ann has worked at 2 firms and has passed the Series 99TO, SIE, Series 27 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mary Ann Nell Swain's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2018 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 40 S. Main St. Suites 1600, Memphis, TN 38103October 20, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/24/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current 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 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Memphis, TN 38103TRUST BUT VERIFY
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