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James E Swinney

B. Riley Wealth Advisors, Inc.

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About James E Swinney

James Swinney is a financial advisor registered with B. Riley Wealth Advisors, Inc. James has been in the financial industry since 2008, and has held previous roles with Morgan Stanley and Mutual of Omaha Investor Services, Inc. James provides financial planning, portfolio management, and other investment services to individuals, families, and businesses.

Firm Information

James Swinney is currently registered with B. Riley Wealth Advisors, Inc.. B. Riley Wealth Advisors, Inc. is a financial advisory firm with approximately $7.64 billion in regulatory assets under management. The firm offers financial planning, pension consulting, and educational seminars, and it provides portfolio management for individuals, businesses, and other investment advisers. The firm serves a variety of client types, including high-net-worth individuals, corporations, and pension and profit-sharing plans. B. Riley Wealth Advisors, Inc. is headquartered in Memphis, Tennessee.
B. Riley Wealth Advisors, Inc.

40 S. MAIN ST.

MEMPHIS, TN 38103

$7.65B

Assets Under Management

40

Total Clients

338

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Swinney’s Registration & Firm History

MD

08/30/2022 - Present

B. Riley Wealth Advisors, Inc. (Annapolis MD)

MD

06/26/2015 - 08/06/2020

MORGAN STANLEY (HUNT VALLEY MD)

MD

06/14/2012 - 07/24/2015

MUTUAL OF OMAHA INVESTOR SERVICES, INC. (COLUMBIA MD)

MD

11/05/2008 - 09/28/2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OCEAN CITY MD)

MD

05/12/2006 - 11/14/2008

MML INVESTORS SERVICES, INC. (BETHESDA MD)

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Licenses & Designations

BOTH

Issued 11/20/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/11/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James E Swinney. Review regulatory record here.
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