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Corporate Profile

Headquarters

40 South Main, Suite 1800, Memphis, TN 38103 | 901.251.1300 | 800.726.0557

Size

300 associates | Over 20 locations in 12 states

Client Assets

Over $10 billion under administration

Affiliates

Wholly-owned subsidiary of B. Riley Financial, Inc. (NASDAQ:RILY), a publicly traded, diversified financial services company. Other affiliates: B. Riley FBR, Inc., Great American Group, B. Riley Capital Management, Fiduciary Financial Services Wealth Management (FFSS).

Leadership

Gary Wunderlich, Chief Executive Officer

Philip Zanone, President

Steve Bonnema, Chief Administrative Officer

James Ritt, Chief Compliance Officer, General Counsel

Chuck Hastings, Director of Strategic Initiatives

Craig Pirtle, Managing Director, Wealth Management

Lines of Business

Private Wealth Management and Registered Investment Advisory

Wealth Management Services

Retirement planning, financial strategies, investment advisory, annuities and life insurance, separate account management, corporate retirement plan advisory services, trust services*, lending resources*

Registrations and Memberships

Financial Industry Regulatory Authority (FINRA), Securities & Exchange Commission (SEC), Member of Securities Investor Protection Corporation (SIPC)

Custodial and Clearing Relationships

First Clearing provides clearing, execution and settlement services for B. Riley Wealth Management accounts. First Clearing is a leading provider of clearing and custody services to financial institutions.

*Offered through third-party trust, lending and banking services providers.

First Clearing is a trade name used by Wells Fargo Clearing Services, LLC, Member SIPC, a registered broker-dealer and non-bank affiliate of Wells Fargo & Company.