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RIA / WealthAdvisor31 years in industry

JERROLD STEPHEN KLEIN

Advisor at B. RILEY WEALTH ADVISORS, INC.

NEW YORK, NY

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Search this name across graphsid dfx:ria:6af02cc8-320a-dc89-0630-60b9766842e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 1, 1998 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 20, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 20, 1995
First registration: May 1, 1998
Dual registered: no
IAPD individual key: 2578433

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	Sep 13, 2020	n/a	yes	NEW YORK, NY	Current employment
UNITED ADVISORS SERVICES, LLC	Former SEC adviser	Jan 10, 2014	Sep 17, 2020	no	BOCA RATON, FL	Previous registration
COMPREHENSIVE CAPITAL MANAGEMENT, INC.	Independent wealth	Nov 21, 2012	Aug 20, 2013	no	TOTOWA, NJ\|NEW YORK, NY	Previous registration
COMPREHENSIVE CAPITAL MANAGEMENT, INC.	Independent wealth	Dec 20, 2010	Oct 26, 2012	no	NEW YORK, NY\|TOTOWA, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Dec 16, 2010	no	NEW YORK, NY\|WASHINGTON, DC	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 1, 1998	Jun 1, 2009	no	LOUISVILLE, KY\|WASHINGTON, DC\|NEW YORK, NY	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
UNITED ADVISORS SERVICES, LLC	B. RILEY WEALTH ADVISORS, INC.	Sep 17, 2020	Sep 13, 2020	-4	Firm change	RIA to ibd
COMPREHENSIVE CAPITAL MANAGEMENT, INC.	UNITED ADVISORS SERVICES, LLC	Aug 20, 2013	Jan 10, 2014	143	Firm change	Other
MORGAN STANLEY	COMPREHENSIVE CAPITAL MANAGEMENT, INC.	Dec 16, 2010	Dec 20, 2010	4	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
150080:115927:FL:2020-09-17	Sep 17, 2020	Sep 13, 2020	BOCA RATON, FL	Firm change

Relationships

Registered with (5)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Sep 13, 2020 to presentfactForm ADV
→ UNITED ADVISORS SERVICES, LLCRegistered adviserregistration: previous registration
Jan 10, 2014 to Sep 17, 2020factForm ADV
→ COMPREHENSIVE CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Nov 21, 2012 to Aug 20, 2013factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Dec 16, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 1, 1998 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.