AdvisorOS Directory
Claim Profile
Unclaimed Profile
MS

Mary Ann Nell Swain

B RILEY WEALTH MANAGEMENT, INC.·MEMPHIS, Tennessee
SIE, Series 27, Series 28, Series 99TOClean recordB RILEY WEALTH MANAGEMENT, INC.
40 SOUTH MAIN, MEMPHIS, TN 38103CRD# 6484916Firm CRD# 2543

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Mary Ann Nell Swain · MEMPHIS, TN
Registration
CRD #6484916 · B RILEY WEALTH MANAGEMENT, INC.
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 27
Series 28
Series 99TO
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
B RILEY WEALTH MANAGEMENT, INC.
CRD 2543 · SEC 801-67275
AUM
$4.1B
Regulatory assets under management
Employees
250
9,621 client accounts
Services offered by B RILEY WEALTH MANAGEMENT, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at B RILEY WEALTH MANAGEMENT, INC. →
Introduction

Speak with Mary Ann Nell

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Mary Ann Nell is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in MEMPHIS?

Browse all registered financial advisors in MEMPHIS, Tennessee or claim this profile if it's yours.

Browse MEMPHIS AdvisorsAre you this advisor? Claim profile
04

Frequently Asked Questions

What services does Mary Ann Nell Swain offer?
Mary Ann Nell Swain specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MEMPHIS, Tennessee for a consultation.
What are Mary Ann Nell Swain's credentials?
Mary Ann Nell Swain is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Mary Ann Nell Swain located?
Mary Ann Nell Swain is based in MEMPHIS, Tennessee, working with B RILEY WEALTH MANAGEMENT, INC.. Their office serves clients in the MEMPHIS metropolitan area and surrounding communities.
How does Mary Ann Nell Swain charge for services?
Mary Ann Nell Swain's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is B RILEY WEALTH MANAGEMENT, INC.?
B RILEY WEALTH MANAGEMENT, INC. has approximately 250 employees and manages $4.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at B RILEY WEALTH MANAGEMENT, INC.

David Lawrence Webb
MEMPHIS, TN
Gary Kent Jr Wunderlich
MEMPHIS, TN
James Timothy Ritt
MEMPHIS, TN
Stephen Joseph Bonnema
MEMPHIS, TN

More Advisors in MEMPHIS, Tennessee

David Nathan Fleischer
CHICKASAW CAPITAL MANAGEMENT, LLC·MEMPHIS, TN
CFA
Geoffrey Paul Mavar
CHICKASAW CAPITAL MANAGEMENT, LLC·MEMPHIS, TN
Heather Diane Smith
DUNCAN WILLIAMS ASSET MANAGEMENT, LLC·MEMPHIS, TN
Miles Slocum Fortas
GAVION, LLC·MEMPHIS, TN
Robert Mark Thomas Walker
CHICKASAW CAPITAL MANAGEMENT, LLC·MEMPHIS, TN
Brian L Jones
GAVION, LLC·MEMPHIS, TN

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Tennessee
NASHVILLE (158)KNOXVILLE (98)BRENTWOOD (93)CHATTANOOGA (59)FRANKLIN (53)JACKSON (18)GERMANTOWN (10)KINGSPORT (8)JOHNSON CITY (7)MURFREESBORO (6)
City Guides
NASHVILLE GuideKNOXVILLE GuideBRENTWOOD GuideCHATTANOOGA GuideFRANKLIN Guide
Research
Advisor Fees in TennesseeNational Fee Analysis
Request removal of this profile