Unclaimed Profile

Thomas David Kowalczyk

B. RILEY WEALTH ADVISORS, INC.·MEMPHIS, Tennessee

SIE, Series 7, Series 24, Series 66, Series 99TOClean record17 years registeredB. RILEY WEALTH ADVISORS, INC.

40 S. MAIN ST., MEMPHIS, TN 38103CRD# 5630382Firm CRD# 115927

Profile Verification

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

Identity

Thomas David Kowalczyk · MEMPHIS, TN

Registration

CRD #5630382 · B. RILEY WEALTH ADVISORS, INC. · 17 years registered

Brand Profile

Not yet started

Career History

STEADTRUST

Feb 2025 – present

B. RILEY WEALTH PRIVATE SHARES

Sep 2021 – Jan 2025

Dallas, TX

B. RILEY WEALTH ADVISORS, INC.

Jul 2017 – Jan 2025

Dallas, TX

WFG ADVISORS, LP

Mar 2014 – Jul 2017

DALLAS, TX

SIGNATOR INVESTORS, INC.

Nov 2013 – Feb 2014

BOSTON, MA

SIGNATOR FINANCIAL SERVICES, INC.

Feb 2009 – Feb 2014

BELLEVUE, WA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 66

Series 99TO

Registration record

First registered · February 5, 2009

Years registered · 17

Disclosure History

Clean record · no disclosure events on file

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

Firm Overview

Firm

B. RILEY WEALTH ADVISORS, INC.

CRD 115927 · SEC 801-64837

AUM

$7.6B

Regulatory assets under management

Employees

457

20,038 client accounts

Services offered by B. RILEY WEALTH ADVISORS, 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 ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas David Kowalczyk offer?

Thomas David Kowalczyk specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MEMPHIS, Tennessee for a consultation.

What are Thomas David Kowalczyk's credentials?

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

Where is Thomas David Kowalczyk located?

Thomas David Kowalczyk 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 Thomas David Kowalczyk charge for services?

Thomas David Kowalczyk'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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