| Denise M Williams | B Riley Wealth Management BD affiliated | Stifel, Nicolaus & Company, Incorporated national BD | Affiliated broker-dealer or bank to another | Feb 22, 2019 | Feb 22, 2019 |
| Deborah Edwards Tucker | B Riley Wealth Management BD affiliated | Claris Financial, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 29, 2019 | Sep 17, 2025 (2423 d) |
| Craig M Wiener | B Riley Wealth Management BD affiliated | Realta Investment Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 21, 2018 | Dec 21, 2018 |
| Christopher Paige Scarborough | B Riley Wealth Management BD affiliated | Eudaimonia Partners, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 4, 2018 | Feb 8, 2019 (66 d) |
| Renee A Raymond | B Riley Wealth Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Nov 16, 2018 |
| Chad Dana Champion | B Riley Wealth Management BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 7, 2018 | Oct 30, 2018 |
| Kenneth Michael Osler | B Riley Wealth Management BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Oct 30, 2018 | Oct 19, 2018 |
| Russell Paul Green | B Riley Wealth Management BD affiliated | Cl Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 2, 2018 | Mar 22, 2021 (902 d) |
| Anthony Charles Ruda | B Riley Wealth Management other | Oppenheimer & Co. Inc. BD affiliated | Other | Sep 18, 2018 | Sep 14, 2018 |
| Charles Everett Bailey | B Riley Wealth Management other | Jeffrey Matthews Wealth Management, LLC independent RIA | Other | Sep 10, 2018 | Sep 13, 2018 |
| Leslea Elizabeth Stock-Lopez | B Riley Wealth Management other | LPL Financial LLC independent RIA | Other | Aug 22, 2018 | Aug 20, 2018 |
| Jennifer Allison King | B Riley Wealth Management other | Raymond James & Associates, Inc. national BD | Other | Aug 10, 2018 | Aug 9, 2018 |
| David D Duvigneaud | B Riley Wealth Management other | Wells Fargo Advisors wirehouse | Other | Aug 10, 2018 | Aug 22, 2018 |
| Jeannan Castleberry Brewer | B Riley Wealth Management other | Eudaimonia Advisors LLC no RAUM | Other | Jul 10, 2018 | Dec 18, 2019 (526 d) |
| Mark Alan Davy | B Riley Wealth Management other | Summit Financial Group Inc BD affiliated | Other | May 30, 2018 | Nov 20, 2018 (174 d) |
| Christopher Herridge Rusk | B Riley Wealth Management other | Ameriprise Financial Services, LLC national BD | Other | May 22, 2018 | May 18, 2018 |
| Anthony Michael Caruana | B Riley Wealth Management other | Ameriprise Financial Services, LLC national BD | Other | Apr 2, 2018 | Mar 29, 2018 |
| John George Gellasch | B Riley Wealth Management other | Ameriprise Financial Services, LLC national BD | Other | Apr 2, 2018 | Apr 10, 2018 |
| Brent Patrick Nicks | B Riley Wealth Management other | Newedge Advisors independent RIA | Other | Mar 26, 2018 | Apr 16, 2018 |
| Richard F Colleoni | B Riley Wealth Management other | Spc other | Other | Nov 16, 2017 | Nov 22, 2017 |
| Brian Wayne Mitchell | B Riley Wealth Management other | LPL Financial LLC other | Other | Nov 13, 2017 | Oct 18, 2017 |
| Lawrence Keith Bogar | B Riley Wealth Management other | Advisory Services Network other | Other | Nov 10, 2017 | Jan 10, 2018 (61 d) |
| Phillip Robert Rogers | B Riley Wealth Management other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Nov 10, 2017 | Oct 30, 2017 |
| Mark Kevin Sachse | B Riley Wealth Management other | Access Financial Group, Inc. unclassified | Other | Oct 30, 2017 | Jun 28, 2018 (241 d) |
| Christopher Saul Kelly | B Riley Wealth Management other | Spc BD affiliated | Other | Sep 13, 2017 | Jan 3, 2025 (2669 d) |
| Nelson Luis Hernandez | B Riley Wealth Management other | Dominari Securities LLC independent RIA | Other | Aug 9, 2017 | Jul 12, 2021 (1433 d) |
| Michael Steven Holly | B Riley Wealth Management other | Charles Schwab & Co., Inc. national BD | Other | Jul 17, 2017 | Jul 24, 2017 |
| Sally Chandler | B Riley Wealth Management other | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Other | Jul 5, 2017 | Mar 22, 2018 (260 d) |
| Perry Dennis Reghetti | B Riley Wealth Management other | Reghetti & Associates, LLC unclassified | Other | Jun 19, 2017 | Apr 9, 2009 |
| Myra Creasy Pierotti | B Riley Wealth Management other | Raymond James & Associates, Inc. national BD | Other | Jun 12, 2017 | Jun 15, 2017 |
| Richard Leatherman Morrow | B Riley Wealth Management other | Stephens other | Other | May 31, 2017 | May 30, 2017 |
| Mitchell Brad Pinheiro | B Riley Wealth Management other | Costello Asset Management, Inc. other | Other | May 16, 2017 | May 24, 2017 |
| Edward Reed Laughlin | B Riley Wealth Management other | Westminster Financial Advisory Corp other | Other | May 15, 2017 | May 15, 2017 |
| Erik Syver Klefos | B Riley Wealth Management other | Sanders Morris LLC other | Other | May 8, 2017 | May 9, 2017 |
| Brede Currier Klefos | B Riley Wealth Management other | Sanders Morris LLC other | Other | May 8, 2017 | May 5, 2017 |
| Charles Moore | B Riley Wealth Management other | Reghetti & Associates, LLC unclassified | Other | Apr 5, 2017 | Apr 9, 2009 |
| Matthew Reghetti | B Riley Wealth Management other | Marcum Wealth, LLC other | Other | Apr 5, 2017 | Apr 27, 2017 |
| Scott E. Dubin | B Riley Wealth Management other | MML Investors Services, LLC other | Other | Mar 31, 2017 | Apr 6, 2017 |
| James Kenneth Blake | B Riley Wealth Management other | Avidian Wealth Solutions other | Other | Mar 14, 2017 | Jun 17, 2003 |
| Thomas Joseph Begley | B Riley Wealth Management other | Allstate Financial Advisors, LLC no RAUM | Other | Jan 20, 2017 | Mar 29, 2017 (68 d) |
| Michael Grant Reisin | B Riley Wealth Management other | Integrated Wealth Management Solutions, LLC state registered | Other | Jan 20, 2017 | Apr 22, 2022 (1918 d) |
| Andre Lamar Mcclure | B Riley Wealth Management other | Kdm Capital LLC independent RIA | Other | Dec 19, 2016 | Sep 10, 2018 (630 d) |
| Ralph Evans Harrison | B Riley Wealth Management other | Harrison Capital Management LLC state registered | Other | Oct 12, 2016 | Nov 30, 2016 (49 d) |
| Brett Andrew Staaland | B Riley Wealth Management other | Raymond James Financial Services Advisors, Inc other | Other | Oct 10, 2016 | Feb 9, 2017 (122 d) |
| Linda Marcille Reall | B Riley Wealth Management other | Cambridge Investment Research Advisors, Inc. other | Other | Oct 7, 2016 | Sep 30, 2016 |
| Lawrence Howard Levy | B Riley Wealth Management other | Ike Capital, LLC independent RIA | Other | Sep 16, 2016 | Sep 6, 2021 (1816 d) |
| Roberto Luis Lizama | B Riley Wealth Management other | Ipg Investment Advisors, LLC other | Other | Sep 13, 2016 | Sep 14, 2016 |
| Mauricio U Assael | B Riley Wealth Management other | Ipg Investment Advisors, LLC other | Other | Sep 13, 2016 | Sep 13, 2016 |
| Jonathan Greene | B Riley Wealth Management other | Maxim Financial Advisors LLC other | Other | Aug 15, 2016 | Oct 16, 2017 (427 d) |
| Hal William Brown | B Riley Wealth Management other | Maxim Financial Advisors LLC other | Other | Aug 12, 2016 | Oct 16, 2017 (430 d) |
| Bassam S Salem | B Riley Wealth Management other | Investshares Advisor Group LLC unclassified | Other | Aug 5, 2016 | Oct 4, 2016 (60 d) |
| Rocio C Harb | B Riley Wealth Management other | Ipg Investment Advisors, LLC independent RIA | Other | Jun 28, 2016 | Jul 2, 2019 (1099 d) |
| Gary Steven Brochin | B Riley Wealth Management other | Stifel, Nicolaus & Company, Incorporated national BD | Other | Jun 1, 2016 | Jun 1, 2016 |
| William George Fisher Connell | B Riley Wealth Management other | Waddell & Reed other | Other | May 17, 2016 | May 17, 2016 |
| Jeffrey Curtis Brindley | B Riley Wealth Management other | Waddell & Reed other | Other | May 17, 2016 | May 18, 2016 |
| Kimberly Louise Jamieson | B Riley Wealth Management other | Corecap Advisors other | Other | Apr 20, 2016 | Jun 6, 2016 (47 d) |
| Robert Lynn Norman | B Riley Wealth Management other | Cutter & Company, Inc. other | Other | Mar 9, 2016 | Mar 8, 2016 |
| Edward A Cheatham | B Riley Wealth Management other | Heritage Wealth Management, LLC unclassified | Other | Feb 29, 2016 | Jun 24, 2015 |
| Patricia Ann Blagojevich | B Riley Wealth Management other | Janian Investment Advisers, LLC state registered | Other | Jan 19, 2016 | Feb 16, 2016 |
| Dennis Steven Drexler | B Riley Wealth Management other | Coordinated Capital Securities, Inc. independent RIA | Other | Dec 28, 2015 | Jan 6, 2026 (3662 d) |