CRD #2543 · FINRA BrokerCheck + SEC IAPD

B. Riley Wealth Management

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, B. Riley Wealth Management ranks #262 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #2 of 42 on the same disclosure sort used on the state browse page. B. Riley Wealth Management carries 22 BrokerCheck disclosures across 69 branch offices - moderate load for a mid-sized firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
69
branch offices
22
disclosures
#262 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 2543 B. Riley Wealth Management

B. Riley Wealth Management · Grade C · 22 disc · 0.32/office · Mid-sized firm

  • CRD 2543
  • GRADE C
  • DISC 22
  • REG 18
  • ARB 4
  • CIV 0
  • BRANCH 69
  • PER-OFF 0.32
  • RANK #262 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Loop Capital Markets LLC (0.31 disc/office)

Loop Capital Markets LLC0.31IBN Financial Services,…0.30Supreme Alliance LLC0.30B. Riley Wealth Man… (this)0.32
Disclosures per office among mid-sized firm peers (lower is cleaner)

B. Riley Wealth Management ranks #262 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.32 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

69 offices

FINRA: Medium firm

Total disclosures

22 events

On FINRA BrokerCheck

Regulatory events

18 actions

82% of all disclosures

Disclosures per office

0.32 per office

22 ÷ 69 offices

B. Riley Wealth Management vs. every disclosing firm

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

0 Among the cleanest for its size a cleaner per-office record than 71% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 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 18
Arbitrations 4
Civil Events 0
Total 22

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

Disclosure category share

Regulatory 18 Arbitration 4 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Memphis, TN
CRD Number
2543

Regulator-heavy mix

B. Riley Wealth Management in the heavier-disclosure third

B. Riley Wealth Management carries 22 BrokerCheck disclosures across 69 branch offices - a heavier-third raw book among graded firms (#262 of 20,055). Regulator-initiated events are 82% of the book (18 regulatory / 4 arbitration / 0 civil).

82% of B. Riley Wealth Management's 22 disclosures are regulator-initiated (18 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

Tennessee cohort · 6.74× state average

B. Riley Wealth Management sits above the Tennessee disclosure average

B. Riley Wealth Management reports 22 BrokerCheck disclosures, 6.74× the Tennessee average of 3.3 across 42 graded firms with a principal-office state on file.

In Tennessee, 23 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 Tennessee state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does B. Riley Wealth Management sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, B. Riley Wealth Management ranks #262 of 20,055 by disclosure count (most disclosures first). Among firms registered in TN, it ranks #2 of 42 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 Wealth Management?
A grade of C reflects B. Riley Wealth Management's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 22 total disclosures across 69 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does B. Riley Wealth Management have?
B. Riley Wealth Management has 22 total FINRA disclosures, including 18 regulatory events, 4 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is B. Riley Wealth Management?
B. Riley Wealth Management operates 69 branch offices and is classified by FINRA as a medium firm, registered in TN (Mid-sized 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 Wealth Management's disciplinary record?
You can verify B. Riley Wealth Management's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 2543. 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 Wealth Management's 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid B. Riley Wealth Management 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 Wealth Management carries 22 disclosures across 69 branch offices (about 0.32 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 Wealth Management, both outside TN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Loop Capital Markets LLC (IL) - 0.31 disclosures/office, nearest mid-sized firm peer to B. Riley Wealth Management's 0.32
  • IBN Financial Services, Inc. (NY) - 0.30 disclosures/office, nearest mid-sized firm peer to B. Riley Wealth Management's 0.32
  • Supreme Alliance LLC (NC) - 0.30 disclosures/office, nearest mid-sized firm peer to B. Riley Wealth Management's 0.32
  • Firms in TN - state roster that includes B. Riley Wealth Management's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade C firm like B. Riley Wealth Management.
  • Reading BrokerCheck Reports - How B. Riley Wealth Management's 0.32 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to B. Riley Wealth Management.
  • Compare firms - put B. Riley Wealth Management next to peers on grade and footprint.

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.