CRD #25027 · FINRA BrokerCheck + SEC IAPD

B. Riley Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, B. Riley Securities, Inc. ranks #467 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #3 of 43 on the same disclosure sort used on the state browse page. B. Riley Securities, Inc. carries 14 BrokerCheck disclosures across 14 branch offices - elevated load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
14
branch offices
14
disclosures
#467 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 25027 B. Riley Securities, Inc.

B. Riley Securities, Inc. · Grade C · 14 disc · 1.00/office · Regional firm

  • CRD 25027
  • GRADE C
  • DISC 14
  • REG 12
  • ARB 1
  • CIV 1
  • BRANCH 14
  • PER-OFF 1.00
  • RANK #467 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: 1ST Discount Brokerage, Inc. (1.00 disc/office)

1ST Discount Brokerage,…1.00Keefe, Bruyette & Woods…1.00Fidelity Distributors C…1.05B. Riley Securities… (this)1.00
Disclosures per office among regional firm peers (lower is cleaner)

B. Riley Securities, Inc. ranks #467 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

14 offices

FINRA: Medium firm

Total disclosures

14 events

On FINRA BrokerCheck

Regulatory events

12 actions

86% of all disclosures

Disclosures per office

1.00 per office

14 ÷ 14 offices

B. Riley Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

1 a cleaner per-office record than 24% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). This entry sits in this band. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 12
Arbitrations 1
Civil Events 1
Total 14

Counts for B. Riley Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 12 Arbitration 1 Civil 1

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Arlington, VA
CRD Number
25027

Regulator-heavy mix

B. Riley Securities, Inc. in the heavier-disclosure third

B. Riley Securities, Inc. carries 14 BrokerCheck disclosures across 14 branch offices - a heavier-third raw book among graded firms (#467 of 20,055). Regulator-initiated events are 86% of the book (12 regulatory / 1 arbitration / 1 civil).

86% of B. Riley Securities, Inc.'s 14 disclosures are regulator-initiated (12 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of B. Riley Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Virginia cohort · 7.25× state average

B. Riley Securities, Inc. sits above the Virginia disclosure average

B. Riley Securities, Inc. reports 14 BrokerCheck disclosures, 7.25× the Virginia average of 1.9 across 43 graded firms with a principal-office state on file.

In Virginia, 26 firms carry Grade A and 0 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Virginia state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does B. Riley Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, B. Riley Securities, Inc. ranks #467 of 20,055 by disclosure count (most disclosures first). Among firms registered in VA, it ranks #3 of 43 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for B. Riley Securities, Inc.?
A grade of C reflects B. Riley Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 14 total disclosures across 14 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does B. Riley Securities, Inc. have?
B. Riley Securities, Inc. has 14 total FINRA disclosures, including 12 regulatory events, 1 arbitration, 1 civil event. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is B. Riley Securities, Inc.?
B. Riley Securities, Inc. operates 14 branch offices and is classified by FINRA as a medium firm, registered in VA (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify B. Riley Securities, Inc.'s disciplinary record?
You can verify B. Riley Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 25027. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). B. Riley Securities, Inc.'s 14 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid B. Riley Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. B. Riley Securities, Inc. carries 14 disclosures across 14 branch offices (about 1.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for B. Riley Securities, Inc., both outside VA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.