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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

MICHAEL JOHN KAPP

Advisor at B. RILEY WEALTH ADVISORS, INC.

Randolph, NJ

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 18, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: B. RILEY WEALTH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 22, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 22, 1993
First registration: Oct 18, 2006
Dual registered: yes, broker-dealer
Other names: MICHAEL JOHN KAPP
IAPD individual key: 2284857

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jan 13, 2026	n/a	yes	Randolph, NJ	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 11, 2022	Aug 31, 2022	no	Parsippany, NJ	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jul 19, 2010	Aug 31, 2022	no	NEW YORK, NY\|Parsippany, NJ\|NEW YORK, NY\|NEW YORK, NY	Previous registration
JESUP & LAMONT SECURITIES CORP	n/a	Nov 13, 2008	Jul 15, 2010	no	PARSIPPANY, NJ\|NEW YORK, NY\|PARSIPPANY, NJ	Previous registration
FINANCIAL NORTHEASTERN SECURITIES, LLC	n/a	Oct 18, 2006	Dec 8, 2008	no	FAIRFIELD, NJ\|FAIRFIELD, NJ\|FAIRFIELD, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Aug 31, 2022	Aug 11, 2022	-20	Firm change	Ibd to ibd
JESUP & LAMONT SECURITIES CORP	B RILEY WEALTH MANAGEMENT	Jul 15, 2010	Jul 19, 2010	4	Firm change	Other
FINANCIAL NORTHEASTERN SECURITIES, LLC	JESUP & LAMONT SECURITIES CORP	Dec 8, 2008	Nov 13, 2008	-25	Firm change	Other

Relationships

Registered with (4)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 11, 2022 to Aug 31, 2022factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 19, 2010 to Aug 31, 2022factForm ADV
→ JESUP & LAMONT SECURITIES CORPRegistered adviserregistration: previous registration
Nov 13, 2008 to Jul 15, 2010factForm ADV
→ FINANCIAL NORTHEASTERN SECURITIES, LLCRegistered adviserregistration: previous registration
Oct 18, 2006 to Dec 8, 2008factForm ADV

Dated events

Occurred
Aug 31, 2022
Advisor changed firm
Michael John Kapp left B Riley Wealth Management for B. Riley Wealth Advisors, Inc. (registered 2022-08-11)
Form ADVobserved 4 days ago