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CR

Caroline T. Rowse

B. RILEY SECURITIES
Arlington, VA 22209
CRD#: 6675536
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CR
Caroline T RowseB. RILEY SECURITIES

Professional summary

Caroline T Rowse, who also goes by Caroline Tsia Rowse, Caroline Tsia, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Arlington, Virginia.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2020. Caroline has worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline Tsia Rowse | Caroline Tsia

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caroline T Rowse's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 1, 2026 - Present

B. RILEY SECURITIES, INC.

Office #1: 1655 Fort Myer Drive Suite 1200, Arlington, VA 22209
BD
CRD#: 25027
Arlington, VA
Past

August 21, 2020 - April 22, 2025

B. RILEY SECURITIES, INC.

BD
CRD#: 25027
Los Angeles, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BR
B. RILEY SECURITIES, INC.
B. RILEY FBR, INC. | FRIEDMAN, BILLINGS, RAMSEY & CO., INC. | FBR CAPITAL MARKETS & CO. | B. RILEY SECURITIES, INC.

CRD#: 25027 / SEC#: , 8-41426

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Mailing Address
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Phone number
(310) 966-1444
Established
Delaware since 06/16/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCHAIRMAN4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

Red Flags

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Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Arlington, VA 22209

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