Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Steve Simos is a financial advisor with B. Riley Wealth Advisors, Inc., a registered investment advisor headquartered in Memphis, TN. James has been in the financial industry for over 20 years and has experience in various financial services roles including investment banking, portfolio management, and financial planning. James is a Certified Financial Planner and is a member of the Financial Industry Regulatory Authority (FINRA). James has held Series 7, 24, 28, 52, 53, 66, 79 and 99 licenses. James is also a partner in Adelphia Capital LLC, an investment and management company specializing in commercial real estate. B. Riley Wealth Advisors, Inc., offers a variety of services including financial planning, portfolio management, and investment banking. The firm has over 370 employees and manages over $7 billion in assets.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
05/14/2018 - Present
B. Riley Wealth Advisors, Inc. (Tracy CA)
CA
05/14/2018 - 07/22/2022
NATIONAL SECURITIES CORPORATION (TRACY CA)
CA
11/14/2007 - 05/11/2018
INFINITY FINANCIAL SERVICES (Oakland CA)
CA
09/17/2004 - 05/13/2008
LPL FINANCIAL CORPORATION (OAKLAND CA)
NY
06/21/2002 - 09/21/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/31/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/21/2007
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 11/19/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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