Our Staff has compiled our research into a database of FINRA Broker Disclosures for B. Riley Wealth Management. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Timothy James Breslin | 2981153 | 3 | 09/19/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Firhan Nasir Choudhary | 3023022 | 1 | 12/06/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anthony Peter Craven | 6697969 | 1 | 11/25/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Burges | 6124932 | 3 | 07/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Emily Eisenhauer Freling | 6273936 | 1 | 07/01/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sean Justin Caplen | 4212281 | 1 | 10/19/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Yitzchok Asher Goodman | 1052215 | 6 | 08/06/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Lynette A Lisiewski | 1308308 | 1 | 01/15/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Howard Keller | 2168444 | 1 | 07/13/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Christin M Hinckle | 6060484 | 1 | 05/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |