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Richard Scott Schwartz

B. Riley Wealth Management

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About Richard Scott Schwartz

Richard Schwartz is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with B. Riley Wealth Management and is licensed to provide financial services in thirteen states. Richard holds Series 6, 7, 63, and SIE licenses and has passed the Operations Professional Examination. Richard has a track record of success in helping clients achieve their financial goals. Previously, Richard worked for National Securities Corporation, Prime Capital Services, Inc., NFB Investment Services Corp., Compass Investment Services Corp., Chase Investment Services Corp., Chemical Investment Services Corp., Metlife Securities Inc., and Metropolitan Life Insurance Company.

Firm Information

Richard Schwartz 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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Richard Schwartz’s Registration & Firm History

NY

07/22/2022 - Present

B. Riley Wealth Management (BRONX NY)

NY

11/22/2013 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BRONX NY)

NY

07/06/2005 - 11/22/2013

PRIME CAPITAL SERVICES, INC. (BRONX NY)

NY

02/07/1997 - 07/06/2005

NFB INVESTMENT SERVICES CORP. (MELVILLE NY)

NA

01/06/1997 - 01/28/1997

COMPASS INVESTMENT SERVICES CORP.

IL

09/18/1996 - 01/06/1997

CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)

NA

02/28/1995 - 09/18/1996

CHEMICAL INVESTMENT SERVICES CORP.

MA

10/25/1991 - 03/01/1995

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

10/25/1991 - 03/01/1995

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/12/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/1995

Series 7 - General Securities Representative Examination

BC

Issued 10/23/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Scott Schwartz.
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