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Kathryn Travis

B. Riley Wealth Management

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About Kathryn Travis

Kathryn Travis is a financial advisor with B. Riley Wealth Management in Red Bank, New Jersey. Kathryn has been in the financial services industry since 1991. She has a wide range of experience, having worked with National Securities Corporation, Invest Financial Corporation, FSC Securities Corporation, Prime Capital Services, Inc., Royal Alliance Associates, Inc., and JT Securities Inc. Kathryn is registered to sell securities in New Jersey and New York.

Firm Information

Kathryn Travis 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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Kathryn Travis’s Registration & Firm History

NJ

10/06/2021 - Present

B. Riley Wealth Management (RED BANK NJ)

NJ

12/27/2016 - 07/22/2022

NATIONAL SECURITIES CORPORATION (RED BANK NJ)

NY

02/09/2012 - 12/16/2016

INVEST FINANCIAL CORPORATION (GREENVALE NY)

NY

06/16/2010 - 02/07/2012

FSC SECURITIES CORPORATION (GREENVALE NY)

NY

02/10/1999 - 04/06/2009

PRIME CAPITAL SERVICES, INC. (NEW YORK NY)

AZ

08/01/1991 - 07/02/1999

ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)

NY

07/01/1994 - 11/06/1998

JT SECURITIES INC. (GREAT NECK NY)

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Licenses & Designations

BC

Issued 07/11/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/27/1994

Series 53 - Municipal Securities Principal Examination

BC

Issued 11/02/1993

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/12/1993

Series 7 - General Securities Representative Examination

BC

Issued 07/11/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Kathryn Travis. Review regulatory record here.
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