B. Riley Securities, Inc.

Broker-DealerFINRA MemberEst. 1989

Total AUM

—

Advisory reps

164

Avg account

$0

Firm details

Headquarters: Arlington, Virginia
CRD number: 25027
Registered since: August 11, 1989
Website: brileyfin.com

Firm profile

FINTRX

Overview

B. Riley Securities, Inc. is registered as a corporation and operates as an independent broker-dealer. FINTRX records show the firm has been SEC-registered since 1989. The data classifies the organization as not acting as a capital allocator and not operating as a multi-state adviser or pension consultant. The firm is not flagged as an active ESG investor, and there are no linked related-adviser or newly formed-adviser indicators in the FINTRX snapshot.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

3 of 13

Aaron Goodwin
Chief Information Security OfficerCRD 5001584
Dawn Farrell
Chief Administrative OfficerCRD 4139223
Michael Biener
Deputy Chief Investment OfficerCRD 5990022

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Contacts

3 of 151

Jorge Vinat
SupervisorCRD 6902263
William Wheeler
Managing DirectorCRD 2447866
James Rhodes
Supervisory AnalystCRD 2211311

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 1

Active vs passive

$1.9M in ETFs

Passive

100%

$1.9M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
DIREXION DAILY SMALL CAP BEAR 3X ETF (TZA)	Direxion	Passive	Trading Inverse Equity	$1.9M	500,000	100.00%

Primary office

Arlington, VA

Arlington

Location

Arlington, VA

Headquartered in Arlington, VA, anchoring the Washington-Baltimore-Arlington, DC-MD-VA-WV-PA metro in the South.

Metro area: Washington-Baltimore-Arlington, DC-MD-VA-WV-PA
Region: South
County: Arlington
Address: 1655 Fort Myer Dr
Time zone: ET (UTC-5)
Office locations

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