B RILEY WEALTH MANAGEMENT, INC.
Legal name: B RILEY WEALTH MANAGEMENT
CRD #2543 SEC #801-67275 MEMPHIS, TN 901-251-1330
SEC Registered Broker-Dealer Disclosures
Total AUM
$4.1B
Discretionary
$3.2B
Employees
250
Clients
11
Accounts
9,621
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Corporation
- State of Formation
- Tennessee
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2022
- Branch Offices
- 42
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| BONNEMA, STEPHEN JOSEPH | I | CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CAMPBELL, MICHAEL JOHN | I | SENIOR ADVISOR AND BOD MEMBER | NA | Control |
| CLAIBOURNE, DAVID CHARLES | I | CHIEF COMPLIANCE OFFICER OF CSA DIVISION | NA | Control |
| CLAIBOURNE, DAVID CHARLES | I | CHIEF COMPLIANCE OFFICER OF CSA DIVISION | NA | Control |
| CLINE, JERRY LEE | I | PRESIDENT OF CSA DIVISION | NA | Control |
| CLINE, JERRY LEE | I | PRESIDENT OF CSA DIVISION | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CONACHER, LIONEL FINDLAY | I | BOARD OF DIRECTOR | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CORNE, ROBERT JEFFERY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GAIA, MARTIN | I | DIRECTOR | NA | Control |
| GAIA, MARTIN | I | DIRECTOR | NA | Control |
| GAIA, MARTIN | I | DIRECTOR | NA | Control |
| GAIA, MARTIN | I | DIRECTOR | NA | Control |
| GAIA, MARTIN | I | DIRECTOR | NA | Control |
| HASTINGS, CHARLES PETER | I | PRESIDENT | NA | Control |
| HASTINGS, CHARLES PETER | I | PRESIDENT | NA | Control |
| HASTINGS, CHARLES PETER | I | PRESIDENT | NA | Control |
| HASTINGS, CHARLES PETER | I | PRESIDENT | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HASTINGS, CHARLES PETER | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HAYS, JAMES WALKER | I | DIRECTOR | NA | Control |
| HAYS, JAMES WALKER | I | DIRECTOR | NA | Control |
| HAYS, JAMES WALKER | I | DIRECTOR | NA | Control |
| HAYS, JAMES WALKER | I | DIRECTOR | NA | Control |
| HAYS, JAMES WALKER | I | DIRECTOR | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HODGES, STACY MALINDA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| HUGHES, NOLAN BLAKE | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MARKUNAS, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| NICKS, BRENT PATRICK | I | CHIEF COMPLIANCE OFFICER ADVISORY SERVICES | NA | Control |
| PALUGI, CANDY JOHNSON | I | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES | NA | Control |
| PALUGI, CANDY JOHNSON | I | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES | NA | Control |
| PALUGI, CANDY JOHNSON | I | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY SERVICES | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITCHESON, DONALD ALLEN | I | CHIEF FINANCIAL OFFICER AND DIRECTOR | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| RITT, JAMES TIMOTHY | I | CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| SWAIN, MARY ANN NELL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WEBB, DAVID LAWRENCE | I | CHIEF COMPLIANCE OFFICER- IA ONLY | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER - B/D ONLY | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER - B/D ONLY | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER - B/D ONLY | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER - B/D ONLY | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WISWALL, TRACY LEIGHTON | I | CHIEF COMPLIANCE OFFICER - B/D ONLY | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WOODWARD, WILLIAM DAVID | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/CEO | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| ZANONE, PHILIP RICHARD JR | I | CHIEF OPERATING OFFICER | NA | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH INVESTMENT COMPANY, INC. | DE | DIRECT OWNER | E | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | B | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| WUNDERLICH, GARY KENT JR | I | DIRECTOR/CEO | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
| ZANONE, PHILIP RICHARD JR | I | DIRECTOR/PRESIDENT | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ACP INVESTMENT FUND II LP | DE | WIC | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WIC | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP INVESTMENT FUND MANAGEMENT LLC | DE | WUNDERLICH INVESTMENT COMPANY | F | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | ACP BD INVESTMENTS, LLC | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | WUNDERLICH INVESTMENT COMPANY | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| B. RILEY FINANCIAL, INC. | DE | BR FINANCIAL HOLDINGS, LLC | E | Control |
| B. RILEY FINANCIAL, INC. | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| BR FINANCIAL HOLDINGS, LLC | DE | B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | E | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | E | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | E | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | E | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | E | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| ACP INVESTMENT FUND II-A, L.P. | DE | ACP BD INVESTMENTS HOLDINGS LP | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | D | Control |
| ACP BD INVESTMENTS HOLDINGS LP | DE | WIC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WIC | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP BD INVESTMENTS, LLC | DE | WUNDERLICH INVESTMENT COMPANY | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| ACP INVESTMENT FUND II LP | DE | ACP BD INVESTMENTS HOLDINGS LP | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL INVESTMENT GROUP AS | FE | COIL U.S. HOLDINGS, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| COIL U.S. HOLDING, INC. | DE | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| WUNDERLICH, GARY KENT JR | I | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| WUNDERLICH, GARY KENT JR | I | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| WUNDERLICH, GARY KENT JR | I | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| WUNDERLICH, GARY KENT JR | I | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| WUNDERLICH, GARY KENT JR | I | WUNDERLICH INVESTMENT COMPANY, INC. | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
| YDSTEB, ALFRED | I | COIL INVESTMENT GROUP AS | C | Control |
Registrations
Federal
IA
Mar 31, 2022 REGISTERED
Notice Filings (52)
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Address
40 S. MAIN ST.SUITE 1800
MEMPHIS, TN 38103
United States
Phone: 901-251-1330