John C. Cordera
Professional summary
John Charles Cordera is a registered financial professional currently at B. RILEY WEALTH MANAGEMENT located in Memphis, Tennessee.
John is registered as a RR (Registered Representative) and started their career in finance in 1978. John has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 1 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Charles Cordera's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2000 - Present
B. RILEY WEALTH MANAGEMENT
Office #1: 6000 Poplar Avenue Suite 201, Memphis, TN 38119April 19, 1996 - October 11, 2000
LEGACY SECURITIES CORP.
January 20, 1993 - April 29, 1996
B. RILEY WEALTH MANAGEMENT
April 1, 1992 - December 23, 1992
POWELL & SATTERFIELD, INC.
June 19, 1989 - March 30, 1992
B. RILEY WEALTH MANAGEMENT
June 4, 1984 - June 12, 1989
THORN WELCH & CO., INC. INVESTMENT SECURITIES
February 23, 1978 - May 7, 1984
MUNICIPAL SECURITIES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/17/2008)
(7/20/2010)
(10/16/2000)
(10/31/2000)
Exams
Series 1
Date: 2/14/1978
Registered Representative ExaminationFINRA
Current 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
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Company Information
B. RILEY WEALTH MANAGEMENT
CRD#: 2543Memphis, TN 38119TRUST BUT VERIFY
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