Nathaniel D. Ayre
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.
Nathaniel David Ayre, who also goes by Nat Ayre, was a registered financial advisor .
Nathaniel is a previously registered financial advisor and started their career in finance in 1981. Nathaniel had worked at 8 firms and has passed the Series 63, Series 7 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
March 1, 2007 - July 5, 2011
B. RILEY WEALTH MANAGEMENT
March 1, 2007 - July 5, 2011
B. RILEY WEALTH MANAGEMENT
February 7, 2003 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
October 26, 1999 - March 1, 2007
CAPITAL SECURITIES OF AMERICA, INC.
November 30, 1998 - November 1, 1999
TOWER SQUARE SECURITIES, INC.
November 20, 1998 - November 20, 1998
TOWER SQUARE SECURITIES, INC.
March 13, 1995 - December 15, 1998
CAPITAL SECURITIES OF AMERICA, INC.
April 6, 1993 - August 30, 1994
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 1993 - August 30, 1994
MSI FINANCIAL SERVICES, INC.
January 10, 1991 - August 21, 1992
PARKER/HUNTER INCORPORATED
April 17, 1990 - November 13, 1990
LPL FINANCIAL LLC
March 15, 1984 - October 30, 1989
FIRST UNION CAPITAL MARKETS CORP.
March 23, 1981 - March 6, 1984
PARKER/HUNTER 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
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
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.
