Anderson Schock

B. RILEY SECURITIES

New York, NY 10171

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CRD#: 7527187

Professional summary

Anderson Schock is a registered financial professional currently at B. RILEY SECURITIES, INC. located in New York, New York.

Anderson is registered as a RR (Registered Representative) and started their career in finance in 2022. Anderson has worked at 5 firms and has passed the Series 66, Series 86, Series 87, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

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 Anderson Schock'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

August 10, 2023 - Present

B. RILEY SECURITIES, INC.

Office #1: 299 Park Avenue 21st Floor, New York, NY 10171

CRD#: 25027

New York, NY

Past

October 14, 2022 - July 28, 2023

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA

CRD#: 108604

NEW YORK, NY

Past

October 14, 2022 - July 28, 2023

LADENBURG THALMANN & CO. INC.

CRD#: 505

New York, NY

Past

August 19, 2022 - September 26, 2022

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

May 13, 2022 - June 3, 2022

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

April 23, 2022 - June 3, 2022

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

State Registrations and Notice Filings

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

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

New York
(8/10/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/13/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 86

Date: 5/6/2024

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 1/23/2024

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7TO

Date: 4/22/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/11/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Anderson Schock

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Anderson Schock's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN & CO. INC.

FIDELITY BROKERAGE SERVICES LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/13/2022

Series 86

Date: 5/6/2024

Series 87

Date: 1/23/2024

Series 7TO

Date: 4/22/2022

SIE

Date: 3/11/2022

FINRA

Nasdaq Stock Market

Current Firm

B. RILEY SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

B. RILEY SECURITIES, INC.

TRUST BUT VERIFY

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