Unclaimed Profile

Mark David Klein

B. RILEY CAPITAL MANAGEMENT, LLC·LOS ANGELES, California

SIE, Series 4, Series 7, Series 24, Series 63, Series 65, Series 79TO, Series 99TO21 years registeredB. RILEY CAPITAL MANAGEMENT, LLC

11100 SANTA MONICA BLVD., LOS ANGELES, CA 90025CRD# 1783756Firm CRD# 160510

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark David Klein · LOS ANGELES, CA

Registration

CRD #1783756 · B. RILEY CAPITAL MANAGEMENT, LLC · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: B. RILEY CAPITAL MANAGEMENT, LLC

B. RILEY ASSET MANAGEMENT

Sep 2013 – May 2019

New York, NY

LADENBURG THALMANN ASSET MANAGEMENT INC

Apr 2005 – Apr 2012

NEW YORK, NY

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 65

Series 79TO

Series 99TO

Registration record

First registered · April 14, 2005

Years registered · 21

Disclosure History

1999Regulatory·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

B. RILEY CAPITAL MANAGEMENT, LLC

CRD 160510 · SEC 801-73824

AUM

$200M

Regulatory assets under management

Employees

4 client accounts

Services offered by B. RILEY CAPITAL MANAGEMENT, LLC

Per Form ADV

Pension consulting

Client types served by the firm

Per Form ADV

Pension & Retirement Plans

View all advisors at B. RILEY CAPITAL MANAGEMENT, LLC →

Introduction

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Frequently Asked Questions

What services does Mark David Klein offer?

Mark David Klein specializes in Retirement Planning.

What are Mark David Klein's credentials?

Mark David Klein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Mark David Klein located?

Mark David Klein is based in LOS ANGELES, California, last registered with B. RILEY CAPITAL MANAGEMENT, LLC.

How does Mark David Klein charge for services?

Mark David Klein's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is B. RILEY CAPITAL MANAGEMENT, LLC?

B. RILEY CAPITAL MANAGEMENT, LLC has approximately 9 employees and manages $200M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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