|FACTS||WHAT DOES B. RILEY WEALTH MANAGEMENT AND/OR B. RILEY WEALTH ADVISORS DO WITH YOUR PERSONAL INFORMATION?|
|Why?||Financial companies choose how they share your personal information. Federal law gives consumers the right to limit some but not all sharing. Federal law also requires us to tell you how we collect, share, and protect your personal information. Please read this notice carefully to understand what we do.|
|What?||The types of personal information we collect and share depend on the product or service you have with us. This information can include:
- Social Security number, income, and employment information
- Credit history and credit score
- Account balances and account transactions
|How?||All financial companies need to share customers' personal information to run their everyday business. In the section below, we list the reasons financial companies can share their customers' personal information; the reasons we choose to share; and whether you can limit this sharing.|
|Reasons we can share your personal information
||Does B. Riley Wealth
Management and/or B. Riley Wealth Advisors share?
|Can you limit this
|For our everyday business purposes - such as to process your transactions, maintain your account(s), respond to court orders and legal investigations, or report to credit bureaus||Yes||No|
|For our marketing purposes - to offer our products and services to you||Yes||No|
|For joint marketing with other financial companies||No||We Do Not Share|
|For our affiliates' everyday business purposes - information about your transactions and experiences||Yes||No|
|For our affiliates' everyday business purposes - information about your creditworthiness||No||We Do Not Share|
|For our affiliates to market to you||Yes||Yes|
|For non-affiliates to market to you||No||We Do Not Share|
|Questions:||Call 800-726-0557 or go to www.brileywealth.com.
If you are a new customer, we can begin sharing your information 30 days from the date we sent this notice. When you are no longer our customer, we continue to share your information as described in this notice. However, you can contact us at any time to limit our sharing.
|Who we are|
|Who provides this notice?||B. Riley Wealth Management and B. Riley Wealth Advisors are providing this notice.|
|What we do
|How does B. Riley Wealth Management and/or B. Riley Wealth Advisors protect my personal information?||To protect your personal information from unauthorized access and use, we use security measures that comply with federal law. These measures include computer safeguards and secured files and buildings. We restrict access to nonpublic information about you to employees and agents who need to know the information.|
|How does B. Riley Wealth Management
and/or B. Riley Wealth Advisors collect my personal information?
||We collect your personal information, for example, when you:
- Open an account or enter into an investment advisory agreement
- Apply for margin or a loan
- Seek advice about your investments
- Tell us about your investment or retirement portfolio
We may also collect your personal information from others, such as credit bureaus, affiliates or other companies.
|Why can't I limit all sharing?||Federal law gives you the right to limit only:
- Sharing for affiliates' everyday business purposes
- Information about your creditworthiness
- Affiliates from using your information to market to you
- Sharing for non-affiliates to market to you.
State laws and individual companies may give you additional rights to limit sharing. See below for more on your rights under state law.
|Affiliates||Companies related by common ownership or control. They can be financial and non-financial companies.|
|Non-Affiliates||Companies not related by common ownership or control. They can be financial and non-financial companies. B. Riley Wealth Management and B. Riley Wealth Advisors do not share with non-affiliates so they can market to you.|
|Joint marketing||A formal agreement between non-affiliated financial companies that together market financial products or services to you. B. Riley Wealth Management
and B. Riley Wealth Advisors do not jointly market.
|Vermont residents: We automatically treat customers with a Vermont mailing address as having limited sharing with affiliates as provided on page 1.|
|California residents:In response to California law, we automatically treat accounts with California billing addresses as if you do not want to disclose personal information about you to non-affiliated third parties except as permitted by the applicable California law.
|Nevada residents: We are providing you this notice pursuant to state law. You may be placed on our internal Do Not Call List by contacting 800-726-0557, by contacting the branch office that services your account and speaking to the branch office manager, by writing to the home office at 40 South Main, Suite 1800 Memphis, TN 38103, or by contacting the Bureau of Consumer Protection, Office of the Nevada Attorney General, 555 E. Washington St., Suite 3900, Las Vegas, NV 89101; 702-486-3132; AGINFO@ag.nv.gov.|
|Trust or fiduciary accounts: Trust or fiduciary accounts, including employer-sponsored retirement accounts, are protected under special rules of confidentiality. Information on these accounts is not shared for marketing purposes without specific consent.|
|B. Riley Wealth Management Financial Professionals: If your Financial Professional's affiliation with B. Riley Wealth Management ends and they join a non-affiliated securities broker-dealer, your Financial Professional may be permitted to use limited information to contact you to join their new firm, as a usual means to continue to service and maintain your accounts. The information they may use is limited to your name, address, email address, phone number, and account title.|