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BG

Bishal Ghosh

B. RILEY SECURITIES
Chicago , IL 60606
Some features on this profile are disabled
CRD#: 7502211
BG

Professional summary

Bishal Ghosh is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Chicago , Illinois.

Bishal is registered as a RR (Registered Representative) and started their career in finance in 2023. Bishal has worked at 4 firms and has passed the Series 63, Series 86, Series 87, Series 79TO and SIE exams.

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 Bishal Ghosh'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

November 26, 2025 - Present

B. RILEY SECURITIES, INC.

Office #1: 151 N Franklin St Suite 500, Chicago , IL 60606
BD
CRD#: 25027
Chicago , IL
Past

August 14, 2024 - November 12, 2025

SCOTIA CAPITAL (USA) INC.

BD
CRD#: 2739
San Francisco, CA
Past

April 30, 2024 - August 13, 2024

PIPER SANDLER & CO.

BD
CRD#: 665
SAN FRANCISCO, CA
Past

July 3, 2023 - September 26, 2023

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY

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
Illinois
(11/26/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/26/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 86
Date: 1/8/2025
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 6/29/2024
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 79TO
Date: 7/1/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/21/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

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 RICHARDCHIEF EXECUTIVE OFFICER5834046
INNIS, KATHLEEN GIBBONSCHIEF COMPLIANCE OFFICER2112837
MCCOY, MICHAEL RICHARDCHIEF FINANCIAL OFFICER4743031
MOORE, ANDREW THOMASCHAIRMAN4574997
SCHUTT, JANELLE REGINACONTROLLER2853858

Disclosures

Regulatory Event12
Civil Event1
Arbitration1

Red Flags

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Company Information

B. RILEY SECURITIES, INC.

CRD#: 25027Chicago , IL 60606

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