Disclaimers & Legal Disclosures
Business Continuity Plan
B. Riley Wealth Management ("BRWM"), a division of B. Riley Capital Management, LLC, has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.
Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, and protecting the firm’s books and records. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible.
The plan addresses, among other things: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities.
Varying Disruptions – Significant business disruptions and its degree of severity can vary in their size and scope. We plan to continue business operations and notify you through our web site or our customer emergency number, 310-689-2220, on how to contact us and the time frame that we expect to resume business operations. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt access to their funds and securities.
If you have questions about our business continuity planning, please contact our Chief Compliance Officer at 310-689-2220.
BRWM is a division of B. Riley Capital Management, LLC, an SEC registered Investment Advisor. Registration with the SEC as an investment adviser does not imply that BRWM or any principals or employees of BRWM possess a particular level of skill or training in the investment advisory or any other business. This email and the information contained herein are proprietary and confidential and intended for the recipient of the email only, use by other than intended recipients is prohibited. Any recommendation contained in any email may not be suitable for all investors. Moreover, although the information contained herein has been obtained from sources believed to be reliable, its accuracy and completeness cannot be guaranteed. BRWM reviews and archives outgoing and incoming e-mail. Such may be produced at the request of regulators and/or in connection with judicial/arbitral proceedings. Sender accepts no liability for any errors or omissions arising as a result of transmission. Neither the information nor any opinion expressed herein constitutes an offer or a solicitation of an offer to buy or sell securities. Securities are introduced through B. Riley FBR, Inc., member FINRA & SIPC, and an affiliate of BRWM. For additional information contact BRWM at (310) 689-2220
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The material located on the B. Riley Wealth Management ("BRWM") website is for informational purposes only and is not intended as a solicitation to buy or sell any securities or other financial instrument or to provide any investment advice or service. Information included on our website is subject to change at any time. The firm does not guarantee the timeliness, sequence, accuracy or completeness of information included on this website. BRWM does not take responsibility for content contained at hyperlinked sites. Past performance should not be taken as an indication of guarantee of future performance and no representation, express or implied, is made regarding future performance. BRWM does not provide tax advice; clients should contact their attorney, accountant, or other tax adviser regarding tax matters. BRWM is a division of B. Riley Capital Management, LLC, an SEC Registered Investment Advisor. Registration with the SEC as an investment adviser does not imply that BRWM or any principals or employees of BRWM possess a particular level of skill or training in the investment advisory or any other business.
For additional information, please contact BRWM at (310) 966-1446.