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RIA / WealthAdvisordual registered (broker-dealer)45 years in industry

JAMES ALLEN TOLBERT

Advisor at B. RILEY WEALTH ADVISORS, INC.

THE WOODLANDS, TX

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Search this name across graphsid dfx:ria:7b60d7f7-80a0-4e0a-17e9-0a571ef4385c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 13, 1994 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: May 2, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: May 2, 1981
First registration: May 13, 1994
Dual registered: yes, broker-dealer
IAPD individual key: 728423

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	Dec 1, 2017	n/a	yes	THE WOODLANDS, TX	Current employment
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jan 22, 2014	Aug 24, 2015	no	Chicago, IL\|ST. CHARLES, IL	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Apr 30, 2013	Jan 27, 2014	no	CHICAGO, IL	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Mar 8, 2010	Apr 19, 2013	no	OAKBROOK, IL	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Dec 7, 2004	Feb 26, 2010	no	OAKBROOK TERRACE, IL\|OAK BROOK TERRACE, IL	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	May 13, 1994	Dec 16, 2004	no	HINSDALE, IL	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 24, 2015	Dec 1, 2017	830	Firm change after gap	Other
STERNE AGEE ASSET MANAGEMENT, INC.	B RILEY WEALTH MANAGEMENT	Jan 27, 2014	Jan 22, 2014	-5	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	STERNE AGEE ASSET MANAGEMENT, INC.	Apr 19, 2013	Apr 30, 2013	11	Firm change	Other
RBC CAPITAL MARKETS, LLC	B. RILEY WEALTH ADVISORS, INC.	Feb 26, 2010	Mar 8, 2010	10	Firm change	Other
UBS FINANCIAL SERVICES INC.	RBC CAPITAL MARKETS, LLC	Dec 16, 2004	Dec 7, 2004	-9	Firm change	Wirehouse to ibd

Relationships

Registered with (5)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Mar 8, 2010 to Apr 19, 2013factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jan 22, 2014 to Aug 24, 2015factForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Apr 30, 2013 to Jan 27, 2014factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Dec 7, 2004 to Feb 26, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
May 13, 1994 to Dec 16, 2004factForm ADV

Dated events

No dated event names this entity yet.