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William Brent Burks

B. Riley Wealth Management

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About William Brent Burks

William Brent Burks is a financial advisor currently registered with B. Riley Wealth Management. William has been active in the financial services industry since 1986. William holds a Series 3, 7, 10, and 9 licenses, and is also registered with the State of Oklahoma. William has previously been registered with SANDERS MORRIS HARRIS INC., CITIGROUP GLOBAL MARKETS INC., CAPITAL WEST SECURITIES, INC., STIFEL, NICOLAUS & COMPANY, INCORPORATED, and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED.

Firm Information

William Burks 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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William Burks’s Registration & Firm History

OK

12/14/2012 - Present

B. Riley Wealth Management (TULSA OK)

OK

03/20/2009 - 12/17/2012

SANDERS MORRIS HARRIS INC. (TULSA OK)

OK

06/13/1995 - 04/08/2009

CITIGROUP GLOBAL MARKETS INC. (TULSA OK)

OK

06/01/1995 - 06/28/1995

CAPITAL WEST SECURITIES, INC. (OKLAHOMA CITY OK)

MO

02/20/1990 - 06/01/1995

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

NY

07/23/1986 - 02/23/1990

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/18/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/22/1994

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

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/20/1989

Series 3 - National Commodity Futures Examination

BC

Issued 07/19/1986

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for William Brent Burks. Review regulatory record here.
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