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Corporate Profile

Size

280+ associates | Over 20 locations in 14 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

Philip Zanone, Chief Executive Officer

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.