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 and B. RILEY SECURITIES, INC. located in Arlington, Virginia.
Mary Ann is registered as a RR (Registered Representative) and started their career in finance in 2021. Mary Ann has worked at 3 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 38103May 19, 2026 - Present
B. RILEY SECURITIES, INC.
Office #1: 1655 Fort Myer Drive Suite 1200, Arlington, VA 22209October 20, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/24/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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Company Information
B. RILEY SECURITIES, INC.
CRD#: 25027Memphis, TN 38103TRUST BUT VERIFY
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