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Rebecca Levon James

B. Riley Wealth Management

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About Rebecca Levon James

Rebecca James is a financial advisor with over 25 years of experience in the financial services industry. Rebecca has held a Series 66, 63, 8, 3, 7, and SIE license. Rebecca is currently registered with B. Riley Wealth Management, which is a firm that provides financial advisory services to individuals and families. Previously, Rebecca worked at National Securities Corporation, WFG Investments, Inc., Citigroup Global Markets Inc., and Lehman Brothers Inc.

Firm Information

Rebecca James 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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Rebecca James’s Registration & Firm History

AR

07/22/2022 - Present

B. Riley Wealth Management (LITTLE ROCK AR)

AR

08/02/2017 - 07/22/2022

NATIONAL SECURITIES CORPORATION (LITTLE ROCK AR)

AR

11/11/2013 - 08/03/2017

WFG INVESTMENTS, INC. (LITTLE ROCK AR)

AR

06/16/2010 - 03/25/2011

WFG INVESTMENTS, INC. (LITTLE ROCK AR)

AR

07/31/1993 - 04/09/2009

CITIGROUP GLOBAL MARKETS INC. (LITTLE ROCK AR)

NY

10/21/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/07/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/24/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/30/1994

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/02/1997

Series 3 - National Commodity Futures Examination

BC

Issued 10/19/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rebecca Levon James.
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