Deputy Chief Compliance Officer

0001213900-20-036301.txt : 20201112 0001213900-20-036301.hdr.sgml : 20201112 20201112060802 ACCESSION NUMBER: 0001213900-20-036301 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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: 201302964 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 09-30-2020 09-30-2020 false B. Riley Wealth Management, Inc.

40 S Main Street Suite 1800 Memphis TN 38103

13F HOLDINGS REPORT 028-16196 N Candy Palugi Deputy Chief Compliance Officer 901-251-1361 /s/ Candy Palugi Memphis TN 11-10-2020 0 418 847401 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 2185 20080 SH SOLE 640 0 19440 ADVANCED MICRO DEVICES INC COM 007903107 734 8949 SH SOLE 0 0 8949 AIR PRODS & CHEMS INC COM 009158106 485 1629 SH SOLE 0 0 1629 ALLIANZGI EQUITY & CONV INCO COM 018829101 282 11628 SH SOLE 0 0 11628 AMARIN CORP PLC SPONS ADR NEW 023111206 114 27167 SH SOLE 0 0 27167 AMAZON COM INC COM 023135106 43106 13690 SH SOLE 228 0 13462 AMERICAN CENTY ETF TR FOCUSED DYNAMIC 025072810 375 5792 SH SOLE 0 0 5792 AMERICAN ELEC PWR CO INC COM 025537101 405 4955 SH SOLE 100 0 4855 AMERICAN EXPRESS CO COM 025816109 552 5511 SH SOLE 180 0 5331 AMERICAN WTR WKS CO INC NEW COM 030420103 1889 13039 SH SOLE 0 0 13039 AMGEN INC COM 031162100 3595 14144 SH SOLE 1150 0 12994 AMPHENOL CORP NEW CL A 032095101 1450 13396 SH SOLE 0 0 13396 AMPLIFY ETF TR ONLIN RETL ETF 032108102 319 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INC COM 58933Y105 11170 134659 SH SOLE 4138 0 130521 MODERNA INC COM 60770K107 546 7714 SH SOLE 0 0 7714 MONGODB INC CL A 60937P106 401 1733 SH SOLE 0 0 1733 NETFLIX INC COM 64110L106 1359 2717 SH SOLE 0 0 2717 NEW RESIDENTIAL INVT CORP COM NEW 64828T201 217 27323 SH SOLE 0 0 27323 NEXTERA ENERGY INC COM 65339F101 8530 30731 SH SOLE 500 0 30231 NOVARTIS AG SPONSORED ADR 66987V109 249 2864 SH SOLE 0 0 2864 NUSTAR ENERGY LP UNIT COM 67058H102 221 20797 SH SOLE 0 0 20797 NUVEEN CALIF SELECT TAX FREE SH BEN INT 67063R103 448 28000 SH SOLE 0 0 28000 NVIDIA CORPORATION COM 67066G104 5524 10206 SH SOLE 0 0 10206 NUVEEN QUALITY MUNCP INCOME COM 67066V101 709 48804 SH SOLE 0 0 48804 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 521 35795 SH SOLE 0 0 35795 NUVEEN CALIF MUNICPAL VALUE COM 6706EB106 366 23400 SH SOLE 0 0 23400 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 255 22585 SH SOLE 0 0 22585 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 733 49903 SH SOLE 0 0 49903 NUVEEN PFD & INCM SECURTIES COM 67072C105 2046 232203 SH SOLE 6896 0 225307 NUVEEN TAXABLE MUNICIPAL INC COM 67074C103 300 13380 SH SOLE 11171 0 2209 NUVEEN DOW 30 DYNAMIC OVERWR SHS 67075F105 172 12708 SH SOLE 0 0 12708 NUVEEN HIGH INCOME 2020 TARG COM 67075L102 348 36767 SH SOLE 0 0 36767 NUVEEN CR OPPORTUNITIES 2022 COM 67075U102 657 83301 SH SOLE 0 0 83301 NUVEEN HIGH INCOME NOVEMBER COM 67077N106 985 110016 SH SOLE 0 0 110016 NUVEEN HIGH INCOME 2023 TARG COM 67079F101 141 14952 SH SOLE 0 0 14952 OREILLY AUTOMOTIVE INC COM 67103H107 519 1126 SH SOLE 0 0 1126 OSI ETF TR OSHS GBL INTER 67110P704 226 5127 SH SOLE 0 0 5127 180 DEGREE CAP CORP COM 68235B109 19 10000 SH SOLE 0 0 10000 ORACLE CORP COM 68389X105 677 11340 SH SOLE 0 0 11340 OTIS WORLDWIDE CORP COM 68902V107 250 4007 SH SOLE 37 0 3970 PACER FDS TR TRENDP US LAR CP 69374H105 305 10332 SH SOLE 0 0 10332 PACER FDS TR BNCHMRK INFRA 69374H741 271 7682 SH SOLE 0 0 7682 PAYPAL HLDGS INC COM 70450Y103 5398 27396 SH SOLE 0 0 27396 PENNANTPARK FLOATING RATE CA COM 70806A106 2465 292046 SH SOLE 290096 0 1950 PHYSICIANS RLTY TR COM 71943U104 318 17757 SH SOLE 0 0 17757 PIMCO ETF TR ENHNCD LW DUR AC 72201R718 9856 96617 SH SOLE 96617 0 0 PIMCO ETF TR ACTIVE BD ETF 72201R775 13392 119110 SH SOLE 0 0 119110 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 416 4434 SH SOLE 0 0 4434 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1049 10290 SH SOLE 0 0 10290 PIMCO ETF TR INTER MUN BD ACT 72201R866 800 14235 SH SOLE 0 0 14235 PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 949 47273 SH SOLE 0 0 47273 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 310 50903 SH SOLE 0 0 50903 PREFERRED APT CMNTYS INC COM 74039L103 111 20508 SH SOLE 0 0 20508 PROSHARES TR SHORT S&P 500 NE 74347B425 443 21800 SH SOLE 0 0 21800 PROSHARES TR RUSS 2000 DIVD 74347B698 535 11341 SH SOLE 0 0 11341 PROSHARES TR LARGE CAP CRE 74347R248 14849 194690 SH SOLE 0 0 194690 PROSHARES TR S&P 500 DV ARIST 74348A467 698 9675 SH SOLE 0 0 9675 PROSPECT CAP CORP COM 74348T102 62 12333 SH SOLE 0 0 12333 PROSPECT CAP CORP NOTE 4.950% 7/1 74348TAR3 23 23000 SH SOLE 0 0 23000 RANGE RES CORP COM 75281A109 180 27253 SH SOLE 0 0 27253 RESTAURANT BRANDS INTL INC COM 76131D103 338 5876 SH SOLE 0 0 5876 RIVERNORTH OPPORTUNITIES FD COM 76881Y109 512 35713 SH SOLE 0 0 35713 RIVERNORTH OPPORTUNISTIC MUN COM 76883F108 242 11857 SH SOLE 0 0 11857 ROKU INC COM CL A 77543R102 548 2903 SH SOLE 0 0 2903 SBA COMMUNICATIONS CORP NEW CL A 78410G104 1803 5660 SH SOLE 0 0 5660 SPDR S&P 500 ETF TR TR UNIT 78462F103 18097 54038 SH SOLE 9435 0 44602 SPDR GOLD TR GOLD SHS 78463V107 4951 27952 SH SOLE 570 0 27382 SPDR INDEX SHS FDS GLB NAT RESRCE 78463X541 481 13276 SH SOLE 9742 0 3534 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 7219 162670 SH SOLE 0 0 162670 SPDR SER TR WELLS FG PFD ETF 78464A292 230 5295 SH SOLE 0 0 5295 SPDR SER TR BLMBRG BRC CNVRT 78464A359 5803 84232 SH SOLE 4350 0 79882 SPDR SER TR S&P DIVID ETF 78464A763 441 4769 SH SOLE 0 0 4769 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 1472 29842 SH SOLE 2498 0 27344 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 4832 17411 SH SOLE 2013 0 15398 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1198 3535 SH SOLE 310 0 3225 SPDR SER TR SPDR BLOOMBERG 78468R663 2004 21899 SH SOLE 0 0 21899 SPDR SER TR NUVEEN BLMBRG SR 78468R739 202 4055 SH SOLE 0 0 4055 SPDR SER TR PRTFLO S&P500 HI 78468R788 1157 42228 SH SOLE 0 0 42228 SVB FINANCIAL GROUP COM 78486Q101 428 1777 SH SOLE 0 0 1777 SVMK INC COM 78489X103 995 45000 SH SOLE 45000 0 0 SALESFORCE COM INC COM 79466L302 1867 7427 SH SOLE 540 0 6887 SEA LTD SPONSORED ADS 81141R100 285 1848 SH SOLE 0 0 1848 SECOND SIGHT MED PRODS INC COM NEW 81362J209 9 10000 SH SOLE 0 0 10000 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1482 13303 SH SOLE 2682 0 10621 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 532 8298 SH SOLE 0 0 8298 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 2664 18123 SH SOLE 0 0 18123 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 958 39804 SH SOLE 0 0 39804 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 819 10643 SH SOLE 0 0 10643 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3387 29024 SH SOLE 1500 0 27524 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 372 6265 SH SOLE 0 0 6265 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 286 4812 SH SOLE 0 0 4812 SERVICE PPTYS TR COM SH BEN INT 81761L102 216 27197 SH SOLE 0 0 27197 SERVICENOW INC COM 81762P102 353 728 SH SOLE 0 0 728 SHOPIFY INC CL A 82509L107 3807 3722 SH SOLE 0 0 3722 SLACK TECHNOLOGIES INC COM CL A 83088V102 917 34148 SH SOLE 0 0 34148 SMART SAND INC COM 83191H107 26 20000 SH SOLE 0 0 20000 SMILEDIRECTCLUB INC CL A COM 83192H106 148 12670 SH SOLE 0 0 12670 SNAP INC CL A 83304A106 1847 70756 SH SOLE 5000 0 65756 SOLAR CAP LTD COM 83413U100 1319 83225 SH SOLE 83225 0 0 SOLAR SR CAP LTD COM 83416M105 3315 263079 SH SOLE 263079 0 0 SONOS INC COM 83570H108 1700 112010 SH SOLE 112010 0 0 SPROTT PHYSICAL GOLD TR UNIT 85207H104 2076 137921 SH SOLE 0 0 137921 STARWOOD PPTY TR INC COM 85571B105 3094 205069 SH SOLE 0 0 205069 SURO CAPITAL CORP COM NEW 86887Q109 164 15128 SH SOLE 13433 0 1695 TC PIPELINES LP UT COM LTD PRT 87233Q108 701 27385 SH SOLE 0 0 27385 TFF PHARMACEUTICALS INC COM 87241J104 264 14300 SH SOLE 0 0 14300 TARGA RES CORP COM 87612G101 833 59397 SH SOLE 0 0 59397 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 2525 122458 SH SOLE 0 0 122458 TEKLA WORLD HEALTHCARE FD BEN INT SHS 87911L108 198 13783 SH SOLE 0 0 13783 TELADOC HEALTH INC COM 87918A105 1201 5478 SH SOLE 0 0 5478 TELLURIAN INC NEW COM 87968A104 10 12675 SH SOLE 0 0 12675 TESLA INC COM 88160R101 3729 8691 SH SOLE 0 0 8691 THERAPEUTICSMD INC COM 88338N107 79 49750 SH SOLE 0 0 49750 THE TRADE DESK INC COM CL A 88339J105 2522 4861 SH SOLE 0 0 4861 3M CO COM 88579Y101 4424 27620 SH SOLE 300 0 27320 TORTOISE MIDSTRM ENERGY FD I COM 89148B200 273 18837 SH SOLE 18745 0 92 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 252 17750 SH SOLE 0 0 17750 TWILIO INC CL A 90138F102 2806 11356 SH SOLE 217 0 11139 TWITTER INC COM 90184L102 750 16853 SH SOLE 4700 0 12153 UBER TECHNOLOGIES INC COM 90353T100 1584 43424 SH SOLE 32281 0 11143 UNITEDHEALTH GROUP INC COM 91324P102 6612 21208 SH SOLE 400 0 20808 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 444 11350 SH SOLE 0 0 11350 VANECK VECTORS ETF TR AMT FREE SHORT M 92189F528 480 26602 SH SOLE 0 0 26602 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 521 2990 SH SOLE 0 0 2990 VANECK VECTORS ETF TR AMT FREE INT ETF 92189H201 446 8694 SH SOLE 0 0 8694 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 268 4485 SH SOLE 0 0 4485 VANECK VECTORS ETF TR OIL SVCS ETF 92189H607 3268 33448 SH SOLE 0 0 33448 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 293 5041 SH SOLE 0 0 5041 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 969 4749 SH SOLE 0 0 4749 VANGUARD WORLD FDS INF TECH ETF 92204A702 1131 3630 SH SOLE 0 0 3630 VANGUARD WORLD FDS MATERIALS ETF 92204A801 825 6130 SH SOLE 0 0 6130 VANGUARD WORLD FDS UTILITIES ETF 92204A876 526 4075 SH SOLE 0 0 4075 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 19717 244081 SH SOLE 239260 0 4821 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 26974 325572 SH SOLE 0 0 325572 VANGUARD SCOTTSDALE FDS VNG RUS3000IDX 92206C599 7593 49877 SH SOLE 0 0 49877 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 253 2088 SH SOLE 0 0 2088 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 310 1390 SH SOLE 0 0 1390 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 585 6102 SH SOLE 0 0 6102 VAXART INC COM NEW 92243A200 71 10700 SH SOLE 0 0 10700 VENTAS INC COM 92276F100 454 10820 SH SOLE 975 0 9845 VERIZON COMMUNICATIONS INC COM 92343V104 11989 201530 SH SOLE 1091 0 200439 VIASAT INC COM 92552V100 1183 34389 SH SOLE 0 0 34389 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 275 14305 SH SOLE 0 0 14305 VISA INC COM CL A 92826C839 11719 58606 SH SOLE 0 0 58606 VUZIX CORP COM NEW 92921W300 597 131000 SH SOLE 0 0 131000 WP CAREY INC COM 92936U109 417 6398 SH SOLE 0 0 6398 WASTE MGMT INC DEL COM 94106L109 2533 22382 SH SOLE 0 0 22382 WAYFAIR INC CL A 94419L101 226 778 SH SOLE 0 0 778 WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD 94987B105 138 18900 SH SOLE 0 0 18900 WELLTOWER INC COM 95040Q104 4231 76804 SH SOLE 0 0 76804 WESTERN ASSET EMERGING MKTS COM 95766A101 149 12090 SH SOLE 0 0 12090 WESTERN ASSET MUN HIGH INCOM COM 95766N103 179 24000 SH SOLE 0 0 24000 WESTERN ASSET INVESTMENT GRA COM 95766T100 379 23534 SH SOLE 0 0 23534 WESTERN ASSET HIGH YIELD DEF COM 95768B107 428 30507 SH SOLE 0 0 30507 WISDOMTREE TR US LARGECAP DIVD 97717W307 431 4437 SH SOLE 0 0 4437 WISDOMTREE TR HEDGED HI YLD BD 97717W430 13168 634004 SH SOLE 0 0 634004 WISDOMTREE TR US MIDCAP DIVID 97717W505 1252 21498 SH SOLE 20663 0 835 WISDOMTREE TR INTL EQUITY FD 97717W703 2473 54384 SH SOLE 0 0 54384 WORKHORSE GROUP INC COM NEW 98138J206 1042 41200 SH SOLE 0 0 41200 ZILLOW GROUP INC CL C CAP STK 98954M200 630 6205 SH SOLE 4600 0 1605 ZOETIS INC CL A 98978V103 366 2212 SH SOLE 0 0 2212 ZSCALER INC COM 98980G102 215 1525 SH SOLE 0 0 1525 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 4966 10564 SH SOLE 7 0 10557 EURONAV NV ANTWERPEN SHS B38564108 132 15000 SH SOLE 0 0 15000 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 431 1909 SH SOLE 0 0 1909 BROOKFIELD RENEWABLE PARTNER PARTNERSHIP UNIT G16258108 242 4609 SH SOLE 0 0 4609 EATON CORP PLC SHS G29183103 838 8216 SH SOLE 0 0 8216 FRONTLINE LTD SHS NEW G3682E192 170 26190 SH SOLE 0 0 26190 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 333 8387 SH SOLE 0 0 8387 MEDTRONIC PLC SHS G5960L103 530 5102 SH SOLE 0 0 5102 CHUBB LIMITED COM H1467J104 713 6143 SH SOLE 0 0 6143 SPOTIFY TECHNOLOGY S A SHS L8681T102 463 1908 SH SOLE 0 0 1908 ASML HOLDING N V N Y REGISTRY SHS N07059210 206 558 SH SOLE 0 0 558 ELASTIC N V ORD SHS N14506104 820 7599 SH SOLE 5339 0 2260 SCORPIO TANKERS INC SHS Y7542C130 167 15105 SH SOLE 0 0 15105