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HM

Howard Marcus

B. RILEY WEALTH MANAGEMENT
New York, NY 10171
Some features on this profile are disabled
CRD#: 734017
HM

Professional summary

Howard Marcus is a registered financial advisor currently at B. RILEY WEALTH MANAGEMENT located in New York, New York.

Howard is registered as a RR (Registered Representative) and started their career in finance in 1981. Howard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Howard Marcus'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

January 21, 2015 - Present

B. RILEY WEALTH MANAGEMENT

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171
BD
CRD#: 2543
New York, NY
Past

December 13, 2007 - January 28, 2015

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

May 29, 2007 - December 21, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NEW YORK, NY
Past

May 29, 2007 - December 21, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 7, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
NEW YORK, NY
Past

June 1, 1992 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
NEW YORK, NY
Past

May 6, 1992 - June 1, 1992

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675
Past

July 26, 1990 - January 11, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 22, 1982 - July 27, 1990

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

June 23, 1981 - June 9, 1982

OTC NET INCORPORATED

BD
CRD#: 7756

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/8/2025)
RR
California
(1/21/2015)
RR
Connecticut
(1/21/2015)
RR
Florida
(2/2/2015)
RR
Georgia
(7/28/2016)
RR
Maryland
(11/25/2019)
RR
New Jersey
(3/18/2015)
RR
New York
(1/21/2015)
RR
North Carolina
(9/23/2024)
RR
Ohio
(1/22/2020)
RR
Pennsylvania
(11/25/2019)
RR
Virginia
(1/21/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/26/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1981
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/29/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/1994
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

B. RILEY WEALTH MANAGEMENT
B. RILEY WEALTH MANAGEMENT
B RILEY WEALTH | WUNTRADE | WUNDERLICH SECURITIES, INC. | WUNDERLICH SECURITIES | WUNDERLICH | FUNDAMENTAL CAPITAL MARKETS | FUNDAMENTAL BROKERS INTER-DEALER | FIDUCIARY FINANCIAL SERVICES WEALTH MANAGEMENT (FFS) | DOMINICK & DOMINICK | CAPITAL SECURITIES OF AMERICA | B. RILEY WEALTH MANAGEMENT, INC. | B. RILEY WEALTH MANAGEMENT | B. RILEY WEALTH | B RILEY WEALTH MANAGEMENT, INC. | B RILEY WEALTH MANAGEMENT | B RILEY WEALTH ADVISORS

CRD#: 2543 / SEC#: 801-67275, 8-31206

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
40 South Main Suite 1800, Memphis, TN 38103
Mailing Address
40 South Main Suite 1600, Memphis, TN 38103
Phone number
(901) 251-1330
Established
Tennessee since 01/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
250

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)Latest Form ADV

Part 2 Brochures

BRWM ADV PART 2A FIRM BROCHURE 03/2022 (3/31/2022)
BRWM ADV PART 2A WRAP FEE PROGRAM BROCHURE 03/2022 (3/31/2022)

Direct owners and executive officers

NamePositionCRD#
B. RILEY WEALTH MANAGEMENT HOLDINGS, INC.DIRECT OWNER
BONNEMA, STEPHEN JOSEPHCHIEF ADMINISTRATIVE OFFICER2229865
MULLEN, MICHAEL ANTHONYCHIEF EXECUTIVE OFFICER1428116
ORTEGA, DANIELCHIEF COMPLIANCE OFFICER3095215
SWAIN, MARY ANN NELLCHIEF FINANCIAL OFFICER6484916
ZANONE, PHILIP RICHARD JRCHIEF OPERATING OFFICER2135221

Regulatory assets under management

Total Number of Accounts9,621
AUM (Assets Under Management)$ 4,118,839,755

Disclosures

Regulatory Event18
Arbitration4
Bond1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/28/2022
Cover Page
Report

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.

Company Information

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CRD#: 2543New York, NY 10171

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