Tina B. Maloney
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.
Tina Blakeley Maloney, who also goes by Tina Marie (musto) Blackeley, Tina Marie Blakeley, Tina Marie Maloney, Tina M Musto, Tina Marie Musto, was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 1980. Tina had worked at 8 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2022 - January 2, 2024
B. RILEY WEALTH MANAGEMENT
May 4, 2021 - January 2, 2024
B. RILEY WEALTH ADVISORS, INC.
March 23, 2021 - July 22, 2022
NATIONAL SECURITIES CORPORATION
February 4, 2005 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
February 2, 1994 - April 13, 2021
WINSLOW, EVANS & CROCKER, INC.
January 6, 1994 - January 28, 1994
WINSLOW, EVANS & CROCKER, INC.
February 12, 1992 - February 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 6, 1988 - February 14, 1989
LAWRENCE ASSOCIATES, INC.
January 10, 1983 - June 3, 1986
MORGAN STANLEY DW INC.
July 24, 1980 - January 26, 1983
MOSELEY 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
