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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

BRIAN JAMES SMITH

Advisor at B. RILEY WEALTH ADVISORS, INC.

Quakertown, PA

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Search this name across graphsid dfx:ria:ad6e6f5b-b876-2e24-a4e7-9750f9368e77

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jul 13, 2010 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 10, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jan 10, 2005
First registration: Jul 13, 2010
Dual registered: yes, broker-dealer
IAPD individual key: 4890589

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	Nov 9, 2023	n/a	yes	Quakertown, PA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 30, 2018	Dec 1, 2023	no	QUAKERTOWN, PA\|DUBLIN, PA\|PERKASIE, PA\|SOUDERTON, PA\|QUAKERTOWN, PA\|ALLENTOWN, PA\|COLMAR, PA\|WARMINSTER TOWNSHIP, PA\|QUAKERTOWN, PA\|QUAKERTOWN, PA\|QUAKERTOWN, PA\|FORT MILL, SC\|QUAKERTOWN, PA\|COOPERSBURG, PA\|PENNSBURG, PA\|COOPERSBURG, PA\|PENNSBURG, PA	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Dec 3, 2012	Aug 2, 2018	no	SAN ANTONIO, TX\|QUAKERTOWN, PA\|SAN ANTONIO, TX\|Danville, KY	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 21, 2012	Dec 12, 2012	no	SAN DIEGO, CA\|EMMAUS, PA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Jul 13, 2010	Feb 22, 2012	no	ALLENTOWN, PA\|ALLENTOWN, PA	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
LPL FINANCIAL LLC	B. RILEY WEALTH ADVISORS, INC.	Dec 1, 2023	Nov 9, 2023	-22	Firm change	Ibd to ibd
INVESTMENT PROFESSIONALS, INC.	LPL FINANCIAL LLC	Aug 2, 2018	Jul 30, 2018	-3	Firm change	Ibd to RIA
LPL FINANCIAL LLC	INVESTMENT PROFESSIONALS, INC.	Dec 12, 2012	Dec 3, 2012	-9	Firm change	Other
SIGNATOR INVESTORS, INC.	LPL FINANCIAL LLC	Feb 22, 2012	Feb 21, 2012	-1	Firm change	Other

Team moves

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

Team	Left	Joined	From	Kind
30184:6413:KY:2018-08-02	Aug 2, 2018	Jul 30, 2018	DANVILLE, KY	Firm change

Relationships

Registered with (4)

→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: current employment
Nov 9, 2023 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 30, 2018 to Dec 1, 2023factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Dec 3, 2012 to Aug 2, 2018factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Jul 13, 2010 to Feb 22, 2012factForm ADV

Dated events

Occurred
Dec 1, 2023
Advisor changed firm
Brian James Smith left Lpl Financial Llc for B. Riley Wealth Advisors, Inc. (registered 2023-11-09)
Form ADVobserved 4 days ago