DFX Intelligence
Advisor moves
Arrivals at B. Riley Wealth Advisors, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Jeffrey Rodriguez-Aponte | Sb Advisory, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2019 | Sep 25, 2019 |
| William Carr Stokes | Advisors Asset Management, Inc. mixed wealth | B. Riley Wealth Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 17, 2019 | Apr 8, 2020 (204 d) |
| Kyle Austin Knopp | Planmember Securities Corporation independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 12, 2019 | Sep 17, 2019 |
| Lance Barton Johnson | Northpointe Capital LLC institutional | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Sep 9, 2019 | Jun 12, 2026 (2468 d) |
| Ann Marie Prizzi | Capitol Securities Management, Inc. independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 26, 2019 | Aug 28, 2019 |
| Stephen Chung-Yee Loh | Wedbush Securities Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2019 | Jul 29, 2019 |
| Joseph Silerto | Pruco Securities, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2019 | Aug 21, 2019 (35 d) |
| Kyle Michael Rainwater | United Capital Financial Advisors independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 17, 2019 | Aug 6, 2019 |
| Allison Barbara Clago | Wedbush Securities Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 6, 2019 | Jul 29, 2019 (53 d) |
| John J Prece | Northwestern Mutual Investment Services,LLC no RAUM | B. Riley Wealth Advisors, Inc. BD affiliated | Other | May 14, 2019 | May 17, 2019 |
| Christopher Robert Armstrong | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 1, 2019 | Aug 28, 2019 (119 d) |
| Oscar David Rubiano | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 12, 2019 | Jun 14, 2019 (94 d) |
| Bruce A Garber | Questar Asset Management, Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2019 | Apr 16, 2019 (41 d) |
| Russell Edwin Herman | UBS Financial Services Inc. wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 4, 2019 | Apr 17, 2019 (44 d) |
| Neil Francis Harnen | Cambridge Investment Research Advisors, Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2019 | Feb 21, 2019 |
| Zachary Thomas Omanson | Wells Fargo Advisors wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 1, 2019 | Jan 29, 2019 |
| Glen Thomas Omanson | Wells Fargo Advisors wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 1, 2019 | Jan 29, 2019 |
| Michael Thomas Gill | United Advisors Services, LLC independent RIA | B. Riley Wealth Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2018 | Jan 15, 2019 |
| William Detar Shaw | UBS Financial Services Inc. wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 14, 2018 | Dec 18, 2018 |
| Graham Edward Macneill | Nfsg Corporation BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2018 | Feb 22, 2019 (70 d) |
| Danny Delgado | Florida Financial Advisors, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2018 | Jan 14, 2019 (34 d) |
| Sean Justin Caplen | Raymond James & Associates, Inc. national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2018 | Oct 31, 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 |
| Chris Castro | Cetera Investment Advisers LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 23, 2018 | Dec 9, 2020 (778 d) |
| Yu Yeung Li | M Holdings Securities, Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 21, 2018 | May 15, 2024 (2063 d) |
| Yitzchok Asher Goodman | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 5, 2018 | Apr 3, 2019 (210 d) |
| William Thomas Johnson | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 4, 2018 | Sep 5, 2018 |
| Steven Benjamin | M&T Securities, Inc. unclassified | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Aug 24, 2018 | Aug 20, 2018 |
| Debra Lee Hedgcoth | Thrivent Investment Management Inc. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2018 | Aug 3, 2018 |
| Angela Leigh Hank | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 16, 2018 | Jul 12, 2018 |
| Gregory Alan Jacobson | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 10, 2018 | Jul 12, 2018 |
| James Steve Simos | Infinity Financial Services unclassified | B. Riley Wealth Advisors, Inc. BD affiliated | Other | May 11, 2018 | May 14, 2018 |
| Shkira Singh | Kestra Advisory Services, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2018 | Apr 17, 2018 |
| Robert A Claros | Kestra Advisory Services, LLC BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2018 | Apr 17, 2018 |
| Kurt Stein | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Mar 16, 2018 | Mar 19, 2018 |
| John Christopher Cannella | Scottrade Investment Management BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2018 | Jul 2, 2018 (115 d) |
| James Vincenzo Lombardo | Aegis Capital Corp. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2018 | Mar 12, 2018 |
| Kevin Robert Smith | Aegis Capital Corp. BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2018 | Mar 14, 2018 |
| Aldain Christopher Beam | Primerica Advisors national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 23, 2018 | Apr 19, 2018 (55 d) |
| Lynette A Lisiewski | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Feb 7, 2018 | Jul 25, 2019 (533 d) |
| Eleftherios Aris | Fisher Investments other | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Jan 30, 2018 | May 31, 2018 (121 d) |
| Kasey Marie Mayne | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 24, 2018 | Jan 12, 2018 |
| Timothy Mark Harrison | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 17, 2018 | Jan 12, 2018 |
| Phillip Judson Kennemer | Ameriprise Financial Services, LLC national BD | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 16, 2018 | Jan 12, 2018 |
| Todd Andrew Lefevre | Heritage Wealth Management, LLC unclassified | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Dec 31, 2017 | Aug 27, 2022 (1700 d) |
| Mark Edward Lefevre | Heritage Wealth Management, LLC unclassified | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Dec 31, 2017 | Jul 28, 2022 (1670 d) |
| Yousef Jamal Abuhakmeh | Citigroup Global Markets Inc. other | B. Riley Wealth Advisors, Inc. other | Other | Nov 3, 2017 | Oct 10, 2017 |
| James Windham Rorie | Cetera Investment Advisers LLC other | B. Riley Wealth Advisors, Inc. BD affiliated | Other | Sep 27, 2017 | Feb 25, 2022 (1612 d) |
| Sean Robert Sullivan | Voya Financial Advisors, Inc. other | B. Riley Wealth Advisors, Inc. other | Other | Sep 16, 2017 | Sep 18, 2017 |
| Mary Ellen Vincent | Morgan Stanley wirehouse | B. Riley Wealth Advisors, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 12, 2017 | Aug 16, 2022 (1799 d) |
| Robert Abramowitz | Oppenheimer & Co. Inc. other | B. Riley Wealth Advisors, Inc. other | Other | Sep 8, 2017 | Sep 8, 2017 |
| Ephimia Coumanakos | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Sep 6, 2017 | Sep 1, 2017 |
| George Einar Ray | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 25, 2017 | Sep 21, 2017 |
| Victor Jeffrey Larsen | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 24, 2017 | Aug 23, 2017 |
| Neal Thomas Leisch | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 14, 2017 | Aug 21, 2017 |
| Stephanie Denee Stewart | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 8, 2017 | Nov 13, 2017 (97 d) |
| Jay B Gadberry | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 3, 2017 | Aug 23, 2017 |
| Jeffrey S Kinard | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 3, 2017 | Aug 7, 2017 |
| William Tyler Prause | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 3, 2017 | Aug 4, 2017 |
| Louis Daniel Fry | Wfg Advisors, LP other | B. Riley Wealth Advisors, Inc. other | Other | Aug 1, 2017 | Aug 3, 2017 |
383 moves match.