Arthur A. Huber
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.
Arthur Anderson Huber JR, who also goes by Andy Huber Jr, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1981. Arthur had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 55, Series 5 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
January 6, 2018 - January 10, 2022
B. RILEY SECURITIES, INC.
February 23, 2011 - January 10, 2022
B. RILEY WEALTH MANAGEMENT
April 9, 2007 - November 12, 2007
PHOENIX DERIVATIVES GROUP, LLC
March 25, 2002 - January 3, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
January 3, 2001 - February 13, 2002
ELECTRONIC TRADING GROUP, LLC
September 22, 1995 - February 3, 1997
DEUTSCHE BANK SECURITIES INC.
July 27, 1989 - June 5, 1995
LEHMAN GOVERNMENT SECURITIES INC.
May 11, 1989 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
April 13, 1981 - June 5, 1995
LEHMAN BROTHERS INC.
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 55
Date: 1/18/2001
Limited Representative-Equity Trader ExamSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
