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FIRM PROFILE
Overview
B. RILEY SECURITIES, INC. is located at 11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025 and was first established at Los Angeles, Delaware in 06/16/1989. After operating for 37 years, B. RILEY SECURITIES, INC. has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of B. RILEY SECURITIES, INC.’s clients are individuals and 0% of their clients are high net worth individuals. B. RILEY SECURITIES, INC. has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at B. RILEY SECURITIES, INC. are registered to handle securities or provide financial advice. The firm has 14 disclosures, 12 being regulatory events, 1 being client events, and 1 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access B. RILEY SECURITIES, INC.‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at B. RILEY SECURITIES, INC.. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for B. RILEY SECURITIES, INC. Comes From
Understanding the Statistics for B. RILEY SECURITIES, INC. and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
11100 Santa Monica Blvd Suite 800, Los Angeles, CA 90025
Medium
(310) 966-1444
Delaware since 06/16/1989
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at B. RILEY SECURITIES, INC.
Robert Xavier Reilly
Michael John Kapp JR
Joel Christopher Rolla
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