Robert W. Brimmer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Whitman Brimmer JR, CFP® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1982
Experience
July 22, 2022 - January 6, 2023
B. RILEY WEALTH MANAGEMENT
June 4, 2004 - November 12, 2013
BRIMMER FINANCIAL GROUP, INC.
March 8, 1997 - January 6, 2023
B. RILEY WEALTH ADVISORS, INC.
June 5, 1995 - July 22, 2022
NATIONAL SECURITIES CORPORATION
March 16, 1993 - June 5, 1995
G.R. STUART & COMPANY, INC.
February 19, 1993 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
October 2, 1991 - February 17, 1993
FIRST AFFILIATED SECURITIES
April 2, 1990 - November 1, 1991
DUNHILL EQUITIES, INC.
November 19, 1989 - June 7, 1990
OSAIC WEALTH, INC.
March 23, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
September 13, 1986 - March 30, 1987
COMMONWEALTH FINANCIAL NETWORK
September 19, 1979 - September 18, 1986
PRUDENTIAL EQUITY GROUP, LLC
May 2, 1977 - October 28, 1979
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 4/26/1977
Registered Representative ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
