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James Phillip Medlock

B. Riley Wealth Management

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About James Phillip Medlock

James Phillip Medlock is a financial advisor with over 30 years of experience in the industry. James currently works at B. Riley Wealth Management and has been registered with them since July 22, 2022. James previously worked at NATIONAL SECURITIES CORPORATION, WM FINANCIAL SERVICES, INC., PENN MUTUAL EQUITY SERVICES, INC., and AMERICAN EXPRESS FINANCIAL ADVISORS INC.

Firm Information

James Medlock 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 Medlock’s Registration & Firm History

WA

07/22/2022 - Present

B. Riley Wealth Management (VANCOUVER WA)

WA

01/02/1998 - 07/22/2022

NATIONAL SECURITIES CORPORATION (VANCOUVER WA)

CA

08/01/1991 - 01/12/1998

WM FINANCIAL SERVICES, INC. (IRVINE CA)

PA

10/12/1989 - 08/05/1991

PENN MUTUAL EQUITY SERVICES, INC. (HORSHAM PA)

MN

06/24/1987 - 06/21/1989

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 07/08/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/20/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James Phillip Medlock. Review regulatory record here.
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