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James Rose

B. Riley Wealth Advisors, Inc.

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About James Rose

James Rose is a financial advisor with B. Riley Wealth Advisors, Inc. James has been in the industry for over 16 years and holds a Series 7, Series 66, and SIE license. James has a diverse background in finance, with experience at UBS Financial Services Inc., United Advisors Services, LLC, National Asset Management, and B. Riley Wealth Advisors, Inc.

Firm Information

James Rose 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 Rose’s Registration & Firm History

WY

10/12/2020 - Present

B. Riley Wealth Advisors, Inc. (Sheridan WY)

NY

04/12/2005 - 04/01/2015

UBS FINANCIAL SERVICES INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/10/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/01/2015

SIE - Securities Industry Essentials Examination

BC

Issued 04/11/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are 3 public disclosures for James Rose. Review regulatory record here.
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