Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Former names
Wunderlich Securities, Inc.
SEC CIK
IRS number
621518255
SEC advisor number
801-67275
FINRA CRD number
2543
AUM ?
$4.12 bn
(as of 31 Mar 22)
Accounts
9,621
(as of 31 Mar 22)
Employees
250
(207 investment advisory or research)
Address
B. Riley Wealth Management
40 S. MAIN STREET
SUITE 1800
MEMPHIS
TN 38103
40 S. MAIN STREET
SUITE 1800
MEMPHIS
TN 38103
Office hours
Monday - Friday, 8:00 A.M. TO 4:30 P.M.
Phone
901-251-1367
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
B. Riley Wealth Management Holdings, Inc. | Direct Owner | 12/1997 | > 75% |
Zanone, Philip Richard JR | Chief Operating Officer | 12/1997 | < 5% |
Bonnema, Stephen Joseph | Chief Administrative Officer | 07/2002 | < 5% |
B. Riley Financial, Inc. | Parent | 04/2021 | > 75% |
Swain, Mary Ann Nell | Chief Financial Officer | 02/2019 | < 5% |
Hastings, Charles Peter | Chief Executive Officer | 08/2020 | < 5% |
Markunas, Michael | Chief Compliance Officer | 12/2019 | < 5% |
BR Financial Holdings, LLC | Parent | 04/2021 | > 75% |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
9 Sep 22
13F-HR
Quarterly holdings report by institutional manager
10 May 22
13F-HR
Quarterly holdings report by institutional manager
10 Feb 22
13F-HR
Quarterly holdings report by institutional manager
12 Nov 21
13F-HR
Quarterly holdings report by institutional manager
12 Aug 21
13F-HR
Quarterly holdings report by institutional manager
17 May 21
13F-HR
Quarterly holdings report by institutional manager
11 Feb 21
13F-HR
Quarterly holdings report by institutional manager
12 Nov 20
13F-HR
Quarterly holdings report by institutional manager
17 Aug 20
13F-HR
Quarterly holdings report by institutional manager
15 May 20