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James Louis Desmet

B. Riley Wealth Management

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About James Louis Desmet

James Desmet is a financial advisor at B. Riley Wealth Management. James has been working in the financial services industry since 1998. James has a broad range of experience in the industry and holds several professional licenses and certifications, including Series 7, 63, 66, 24, 9, 10, 4, SIE and 99TO. James currently holds a broker-dealer registration in Tennessee, Florida, and New York. Prior to joining B. Riley Wealth Management, James worked for National Securities Corporation, Ally Invest Securities LLC, Muriel Siebert & Co., Inc. and TD Ameritrade, Inc.

Firm Information

James Desmet is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

130

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.

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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James Desmet’s Registration & Firm History

TN

02/25/2022 - Present

B. Riley Wealth Management (Memphis TN)

FL

09/14/2020 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

FL

03/01/2018 - 09/14/2020

ALLY INVEST SECURITIES LLC (FORT LAUDERDALE FL)

FL

12/04/2007 - 07/28/2017

MURIEL SIEBERT & CO., INC. (BOCA RATON FL)

FL

02/13/1998 - 11/26/2007

TD AMERITRADE, INC. (FT. LAUDERDALE FL)

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Licenses & Designations

BOTH

Issued 06/18/2003

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/13/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/23/2019

Series 24 - General Securities Principal Examination

BC

Issued 08/02/2018

Series 4 - Registered Options Principal Examination

BC

Issued 03/13/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/23/1999

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/12/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Louis Desmet.
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