0001213900-21-008521.txt : 20210211 0001213900-21-008521.hdr.sgml : 20210211 20210211171759 ACCESSION NUMBER: 0001213900-21-008521 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210211 DATE AS OF CHANGE: 20210211 EFFECTIVENESS DATE: 20210211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Wealth Management, Inc. CENTRAL INDEX KEY: 0001599892 IRS NUMBER: 621518255 STATE OF INCORPORATION: TN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16196 FILM NUMBER: 21620972 BUSINESS ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 BUSINESS PHONE: 901-251-1367 MAIL ADDRESS: STREET 1: 40 S. MAIN STREET STREET 2: SUITE 1800 CITY: MEMPHIS STATE: TN ZIP: 38103 FORMER COMPANY: FORMER CONFORMED NAME: Wunderlich Securities, Inc. DATE OF NAME CHANGE: 20140211 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001599892 XXXXXXXX 12-31-2020 12-31-2020 false B. Riley Wealth Management, Inc.

40 S. Main Street Suite 1800 Memphis TN 38103

13F HOLDINGS REPORT 028-16196 N Candy Palugi 901-251-1361 /s/ Candy Palugi Memphis TN 02-11-2021 0 385 774755 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 1191 10873 SH SOLE 640 0 10233 ADVANCED MICRO DEVICES INC COM 007903107 1747 19047 SH SOLE 0 0 19047 AIR PRODS & CHEMS INC COM 009158106 312 1141 SH SOLE 0 0 1141 ALLIANZGI CONV & INCOME FD COM 018828103 166 29000 SH SOLE 0 0 29000 ALLSTATE CORP COM 020002101 231 2102 SH SOLE 0 0 2102 AMARIN CORP PLC SPONS ADR NEW 023111206 79 16250 SH SOLE 0 0 16250 AMAZON COM INC COM 023135106 39617 12164 SH SOLE 224 0 11940 AMERICAN CENTY ETF TR FOCUSED DYNAMIC 025072810 489 6571 SH SOLE 0 0 6571 AMERICAN EXPRESS CO COM 025816109 750 6206 SH SOLE 180 0 6026 AMERICAN WTR WKS CO INC NEW COM 030420103 2023 13179 SH SOLE 0 0 13179 AMGEN INC COM 031162100 2831 12314 SH SOLE 1150 0 11164 AMPHENOL CORP NEW CL A 032095101 1639 12530 SH SOLE 0 0 12530 AMPLIFY ETF TR ONLIN RETL ETF 032108102 249 2174 SH SOLE 0 0 2174 ANNALY CAPITAL MANAGEMENT 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75281A109 176 26250 SH SOLE 0 0 26250 RESTAURANT BRANDS INTL INC COM 76131D103 359 5877 SH SOLE 0 0 5877 RIVERNORTH DOUBLELINE STRATE COM 76882G107 179 12500 SH SOLE 0 0 12500 ROCKET COS INC COM CL A 77311W101 1387 68580 SH SOLE 0 0 68580 ROKU INC COM CL A 77543R102 463 1393 SH SOLE 0 0 1393 SBA COMMUNICATIONS CORP NEW CL A 78410G104 1597 5660 SH SOLE 0 0 5660 SPDR S&P 500 ETF TR TR UNIT 78462F103 17819 47659 SH SOLE 9435 0 38224 SPDR GOLD TR GOLD SHS 78463V107 4665 26153 SH SOLE 2825 0 23328 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 420 9915 SH SOLE 9742 0 173 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 6897 133582 SH SOLE 0 0 133582 SPDR SER TR BLMBRG BRC CNVRT 78464A359 6689 80800 SH SOLE 4350 0 76450 SPDR SER TR HLTH CARE SVCS 78464A573 246 2542 SH SOLE 0 0 2542 SPDR SER TR S&P DIVID ETF 78464A763 224 2118 SH SOLE 0 0 2118 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1490 30243 SH SOLE 2498 0 27745 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 5196 16992 SH SOLE 1963 0 15029 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1555 3703 SH SOLE 310 0 3393 SPDR SER TR PRTFLO S&P500 HI 78468R788 1328 40301 SH SOLE 0 0 40301 SVB FINANCIAL GROUP COM 78486Q101 663 1709 SH SOLE 0 0 1709 SVMK INC COM 78489X103 1150 45000 SH SOLE 45000 0 0 SALESFORCE COM INC COM 79466L302 2009 9028 SH SOLE 540 0 8488 SEA LTD SPONSORD ADS 81141R100 321 1612 SH SOLE 0 0 1612 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1358 11181 SH SOLE 2682 0 8499 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 429 6365 SH SOLE 0 0 6365 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 2899 18029 SH SOLE 0 0 18029 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1045 35433 SH SOLE 0 0 35433 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1951 22035 SH SOLE 0 0 22035 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3387 26049 SH SOLE 1500 0 24549 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 244 3611 SH SOLE 0 0 3611 SERVICE PPTYS TR COM SH BEN INT 81761L102 119 10333 SH SOLE 0 0 10333 SERVICENOW INC COM 81762P102 494 897 SH SOLE 0 0 897 SHOPIFY INC CL A 82509L107 3682 3253 SH SOLE 0 0 3253 SLACK TECHNOLOGIES INC COM CL A 83088V102 388 9175 SH SOLE 0 0 9175 SMART SAND INC COM 83191H107 34 20000 SH SOLE 0 0 20000 SNAP INC CL A 83304A106 463 9240 SH SOLE 5000 0 4240 SOFTWARE ACQUISITN GRUP INC COM CL A 83407F101 3985 562500 SH SOLE 562500 0 0 SOFTWARE ACQUISITN GRUP INC UNIT 99/99/9999 83407F200 107 10000 SH SOLE 0 0 10000 SOLAR CAP LTD COM 83413U100 1440 82225 SH SOLE 82225 0 0 SOLAR SR CAP LTD COM 83416M105 3816 263909 SH SOLE 263909 0 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 339 1062 SH SOLE 0 0 1062 SONOS INC COM 83570H108 2625 112210 SH SOLE 112010 0 200 SPROTT PHYSICAL GOLD TR UNIT 85207H104 1962 130022 SH SOLE 0 0 130022 STARWOOD PPTY TR INC COM 85571B105 1901 98509 SH SOLE 0 0 98509 SUMMIT WIRELESS TECH INC COM NEW 86633R203 41 11500 SH SOLE 0 0 11500 SURO CAPITAL CORP COM NEW 86887Q109 189 14405 SH SOLE 13433 0 972 TC PIPELINES LP UT COM LTD PRT 87233Q108 806 27385 SH SOLE 0 0 27385 TARGA RES CORP COM 87612G101 427 16171 SH SOLE 0 0 16171 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 759 31832 SH SOLE 0 0 31832 TELADOC HEALTH INC COM 87918A105 592 2963 SH SOLE 0 0 2963 TELOS CORP MD COM 87969B101 224 6800 SH SOLE 0 0 6800 TESLA INC COM 88160R101 3010 4266 SH SOLE 0 0 4266 THERAPEUTICSMD INC COM 88338N107 21 17750 SH SOLE 0 0 17750 THE TRADE DESK INC COM CL A 88339J105 3134 3912 SH SOLE 0 0 3912 3M CO COM 88579Y101 3189 18244 SH SOLE 300 0 17944 TORTOISE MIDSTRM ENERGY FD I COM 89148B200 386 18745 SH SOLE 18745 0 0 TUSCAN HLDGS CORP *W EXP 04/01/202 90069K112 90 19000 SH SOLE 0 0 19000 TWILIO INC CL A 90138F102 4001 11819 SH SOLE 217 0 11602 TWITTER INC COM 90184L102 1457 26899 SH SOLE 4700 0 22199 UBER TECHNOLOGIES INC COM 90353T100 2349 46064 SH SOLE 32281 0 13783 UNITEDHEALTH GROUP INC COM 91324P102 6736 19210 SH SOLE 400 0 18810 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 369 10251 SH SOLE 0 0 10251 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 615 2816 SH SOLE 0 0 2816 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 1269 5672 SH SOLE 0 0 5672 VANGUARD WORLD FDS INF TECH ETF 92204A702 755 2134 SH SOLE 0 0 2134 VANGUARD WORLD FDS UTILITIES ETF 92204A876 634 4618 SH SOLE 0 0 4618 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 19628 241744 SH SOLE 235612 0 6132 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 25218 302925 SH SOLE 0 0 302925 VANGUARD SCOTTSDALE FDS VNG RUS2000GRW 92206C623 253 1213 SH SOLE 0 0 1213 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 344 1390 SH SOLE 0 0 1390 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 669 6885 SH SOLE 0 0 6885 VENTAS INC COM 92276F100 387 7892 SH SOLE 0 0 7892 EURONAV NV SHS B38564108 120 15000 SH SOLE 0 0 15000 AJAX I *W EXP 10/27/202 G0190X126 33 10000 SH SOLE 0 0 10000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 271 1038 SH SOLE 0 0 1038 CONSONANCE HFW ACQUISITION C UNIT 99/99/9999 G2445M129 115 11000 SH SOLE 11000 0 0 EATON CORP PLC SHS G29183103 682 5673 SH SOLE 0 0 5673 FLEX LNG LTD SHS G35947202 88 10000 SH SOLE 0 0 10000 FRONTLINE LTD SHS NEW G3682E192 62 10000 SH SOLE 0 0 10000 ION ACQUISITION CORP 1 LTD *W EXP 10/05/202 G49392114 36 10000 SH SOLE 0 0 10000 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 355 7459 SH SOLE 0 0 7459 MEDTRONIC PLC SHS G5960L103 573 4894 SH SOLE 0 0 4894 SFL CORPORATION LTD SHS G7738W106 63 10000 SH SOLE 0 0 10000 CHUBB LIMITED COM H1467J104 505 3283 SH SOLE 0 0 3283 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 283 1850 SH SOLE 0 0 1850 SPOTIFY TECHNOLOGY S A SHS L8681T102 577 1835 SH SOLE 0 0 1835 ASML HOLDING N V N Y REGISTRY SHS N07059210 272 558 SH SOLE 0 0 558 ELASTIC N V ORD SHS N14506104 1037 7098 SH SOLE 5339 0 1759 CAPITAL PRODUCT PARTNERS L P PARTNERSHP UNITS Y11082206 81 10000 SH SOLE 0 0 10000 COSTAMARE INC SHS Y1771G102 83 10000 SH SOLE 0 0 10000 NAVIOS MARITIME PARTNERS L P COM UNIT LPI Y62267409 112 10000 SH SOLE 0 0 10000 SCORPIO TANKERS INC SHS Y7542C130 161 14347 SH SOLE 0 0 14347