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CW

Charlotte N. Wallace

B. RILEY WEALTH MANAGEMENT
Memphis, TN 38103
Some features on this profile are disabled
CRD#: 7304052
CW

Professional summary

Charlotte Nichols Wallace, who also goes by Charlotte Anne Nichols, is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Memphis, Tennessee and B. RILEY SECURITIES, INC. located in Los Angeles, California.

Charlotte is registered as a RR (Registered Representative) and started their career in finance in 2022. Charlotte has worked at 3 firms and has passed the Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlotte Anne Nichols

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 Charlotte Nichols Wallace'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

March 19, 2021 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 40 S. Main St. Suites 1600, Memphis, TN 38103
BD
CRD#: 2543
Memphis, TN
Current

August 12, 2021 - Present

B. RILEY SECURITIES, INC.

Office #1: 11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
BD
CRD#: 25027
LOS ANGELES, CA
Past

January 19, 2022 - July 22, 2022

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL

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: 3/19/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 2/3/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2021
General Securities Principal 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
B. RILEY SECURITIES HOLDINGS, INC.DIRECT PARENT
BAKER, JAMES RICHARDCO-CHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCO-CHIEF EXECUTIVE OFFICER4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

Red Flags

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Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Memphis, TN 38103

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