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Mary Ann Swain

B. RILEY WEALTH ADVISORS, INC.·MEMPHIS, Tennessee
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40 S. MAIN ST., MEMPHIS, TN 38103CRD# 2857597Firm CRD# 115927
01

About

Mary Ann Swain is a registered financial advisor based in MEMPHIS, Tennessee, affiliated with B. RILEY WEALTH ADVISORS, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Wealth Management
Client Types
Individuals
High Net Worth Individuals
Nonprofits & Foundations
03

Firm Overview

Firm
B. RILEY WEALTH ADVISORS, INC.
B. RILEY WEALTH ADVISORS, INC.
AUM
$7.6B
Regulatory assets under management
Employees
457
Total firm employees
View all advisors at B. RILEY WEALTH ADVISORS, INC. →
Services
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Charitable organization or education services
04

Background

Compensation
Percentage of AUM
Hourly charges
Subscription fees
Regulatory
SEC/IARD CRD# 2857597
Firm CRD# 115927
10 disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Mary Ann Swain offer?
Mary Ann Swain specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MEMPHIS, Tennessee for a consultation.
What are Mary Ann Swain's credentials?
Mary Ann Swain is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Mary Ann Swain located?
Mary Ann Swain is based in MEMPHIS, Tennessee, working with B. RILEY WEALTH ADVISORS, INC.. Their office serves clients in the MEMPHIS metropolitan area and surrounding communities.
How does Mary Ann Swain charge for services?
Mary Ann Swain's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is B. RILEY WEALTH ADVISORS, INC.?
B. RILEY WEALTH ADVISORS, INC. has approximately 457 employees and manages $7.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Michael Heflin Tindal — HIGHLAND CAPITAL MANAGEMENT, LLCSteven Michael Stack — HIGHLAND CAPITAL MANAGEMENT, LLCChristopher Webster Canale — CONSULTING SERVICES GROUP, LLCDavid Sewall Waddell — WADDELL & ASSOCIATES, LLCWilliam Robert Renovich — WOLF RIVER CAPITAL MANAGEMENT, LLC
Nearby cities in Tennessee
NASHVILLE (391)CHATTANOOGA (164)KNOXVILLE (157)BRENTWOOD (154)FRANKLIN (76)
City Guides
NASHVILLE GuideCHATTANOOGA GuideKNOXVILLE GuideBRENTWOOD GuideFRANKLIN Guide
Research
Advisor Fees in TennesseeNational Fee Analysis
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