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 |
|---|---|---|---|---|---|---|---|---|
| Robert Mortimer | 824783 | 1 | 06/09/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Philip Richard Zanone | 2135221 | 1 | 05/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Christopher Rolla | 2515481 | 2 | 05/14/2004 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Carl Bergeron | 500259 | 4 | 03/27/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 02/19/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Edward Groce | 2869325 | 1 | 08/12/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Joseph Gilmore | 1047301 | 2 | 04/29/2002 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas James Veth | 1999499 | 2 | 12/14/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ralph E Derose | 721488 | 4 | 03/23/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Stephen Joseph Kennedy | 267895 | 6 | 11/17/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |