Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Mortimer is an investment advisor representative at B. Riley Wealth Advisors, Inc. Robert has over 40 years of experience in the financial services industry. Robert has been with B. Riley Wealth Advisors, Inc. since 2010, and previously worked at UBS Financial Services Inc., Piper Jaffray & Co., A. G. Edwards & Sons, Inc., J. B. Hanauer & Co., RBC Dain Rauscher Inc., Dain Rauscher Incorporated, Everen Securities, Inc., Blunt Ellis & Loewi Incorporated, and Blunt Ellis & Simmons Incorporated. Robert is a Certified Financial Planner and holds the Series 3, 4, 7, 8, 9, 10, 63, and 65 licenses. Robert specializes in providing financial planning, pension consulting, and portfolio management services for individuals and businesses. Robert is a member of the Financial Industry Regulatory Authority (FINRA).
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.
1
2
IL
07/26/2022 - Present
B. Riley Wealth Advisors, Inc. (Chicago IL)
IL
08/12/2006 - 05/20/2010
UBS FINANCIAL SERVICES INC. (OAKBROOK TERRACE IL)
IL
04/15/2005 - 08/12/2006
PIPER JAFFRAY & CO. (CHICAGO IL)
MO
01/06/2004 - 04/19/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
04/09/2003 - 01/02/2004
J. B. HANAUER & CO. (PARSIPPANY NJ)
NY
03/02/1998 - 04/23/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NA
09/27/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
09/04/1990 - 09/19/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
04/04/1978 - 09/04/1990
BLUNT ELLIS & LOEWI INCORPORATED
NA
07/22/1976 - 04/04/1978
BLUNT ELLIS & SIMMONS INCORPORATED
IA
Issued 02/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/21/1992
Series 4 - Registered Options Principal Examination
BC
Issued 08/08/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2007
Series 3 - National Commodity Futures Examination
BC
Issued 03/31/1978
PC - AMEX Put and Call Exam
BC
Issued 07/17/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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