PB
Philip Bravo
B. RILEY SECURITIES
Greenbrae, CA 94904
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CRD#: 7667967
PB
Professional summary
Philip Bravo is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Greenbrae, California.
Philip is registered as a RR (Registered Representative) and started their career in finance in 2023. Philip has worked at 1 firm and has passed the Series 63, Series 7TO 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.
CRS (Client Relationship Summary) - BD
Click below to view Philip Bravo's 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®
NoneExperience
Current
January 9, 2023 - Present
B. RILEY SECURITIES, INC.
Office #1: 100 Drakes Landing Suite 1-305, Greenbrae, CA 94904BD
CRD#: 25027
Greenbrae, CA
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
California(1/19/2023)
RR
Colorado(1/10/2024)
RR
Connecticut(1/20/2023)
RR
Florida(1/20/2023)
RR
Illinois(1/10/2024)
RR
Maryland(1/10/2024)
RR
Massachusetts(1/10/2024)
RR
Minnesota(1/20/2023)
RR
New Jersey(1/20/2023)
RR
New York(1/20/2023)
RR
North Carolina(1/20/2023)
RR
Ohio(1/20/2023)
RR
Oregon(1/20/2023)
RR
Pennsylvania(1/10/2024)
RR
Puerto Rico(10/16/2024)
RR
South Dakota(1/20/2023)
RR
Texas(1/20/2023)
RR
Utah(1/20/2023)
RR
Wyoming(10/16/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/9/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
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)
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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Company Information
B. RILEY SECURITIES, INC.
CRD#: 25027Greenbrae, CA 94904TRUST BUT VERIFY
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