Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Sepulveda is a financial advisor with B. Riley Wealth Advisors, Inc. Luis has been in the financial industry for over 30 years, holding licenses and registrations in several states. Luis's experience includes working for firms such as Stifel, Nicolaus & Company, Incorporated, National Securities Corporation, and Chatfield Dean & Co., Inc. Luis provides financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. Luis also holds the Series 7, Series 24, and SIE licenses.
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
IL
09/20/2018 - Present
B. Riley Wealth Advisors, Inc. (OAKBROOK TERRACE IL)
IL
11/07/2016 - 07/22/2022
NATIONAL SECURITIES CORPORATION (OAKBROOK TERRACE IL)
IL
04/24/2007 - 11/09/2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CHICAGO IL)
IL
04/29/2002 - 04/24/2007
RYAN BECK & CO. (CHICAGO IL)
NY
10/03/1995 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
05/22/1995 - 10/13/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CO
07/27/1992 - 05/24/1995
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 07/17/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/12/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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