Riley Securities, Inc. is a registered U.S. broker‑dealer and full‑service investment bank serving institutional clients, corporations, and investors in the US stock market. Founded in 1989 and headquartered in Los Angeles, California, B. Riley Securities provides a wide range of brokerage, capital markets, investment banking, research, and advisory services. The firm is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA), the Nasdaq Stock Market, and the Securities Investor Protection Corporation (SIPC). As an introducing broker, B. Riley does not hold customer funds or securities directly; instead, it uses a clearing agent to clear and settle trades on behalf of clients.
What Services Does B. Riley Securities, Inc. Offer?
Riley Securities operates as one of the established stock exchange brokers, offering a broad suite of financial services for institutional and corporate clients.
| Service Category | What B. Riley Securities Offers |
| Brokerage Services | Institutional equity and fixed income trade execution through a clearing broker |
| Capital Markets | Equity offerings, debt issuances, private placements, and underwriting |
| Investment Banking | Mergers and acquisitions, restructuring, and strategic advisory |
| Research | Proprietary equity research with thematic and sector focus |
| Financial Advisory | Corporate finance and strategic consulting solutions |
| Clearing & Settlement | Uses National Financial Services LLC (NFS) as its clearing agent for brokerage operations |
Riley’s services combine execution, advisory, and capital raising capabilities, enabling comprehensive financial support for clients across many industry verticals.
Who Is B. Riley Securities, Inc. For?
- Riley Securities caters to a broad range of clients, including:
- Institutional investors and asset managers seeking execution and liquidity
- Corporations and sponsors requiring capital markets and investment banking expertise
- Clients comparing NASDAQ stock brokers for institutional placement and trading solutions
- Entities needing strategic advisory for mergers, restructuring, or financial transactions
Riley blends brokerage execution with deep industry and transactional expertise to serve clients with diverse investment and financial needs.
Which Markets and Exchanges Can You Trade Through B. Riley Securities?
Market Access
Riley Securities’ membership and market access include:
- NASDAQ markets, consistent with its status among NASDAQ stock brokers
- U.S. national securities exchanges such as NYSE
- OTC and other eligible equity trading venues
This allows institutional and professional clients to engage in equities, fixed income, and related trading activity across major U.S. markets.
Regulatory Memberships
- SEC registered broker‑dealer
- FINRA member
- Nasdaq member
- SIPC member
These memberships provide compliance with U.S. securities regulations and industry‑standard investor protections.
How B. Riley Securities Helps You Trade and Invest
Here is a typical process when working with B. Riley Securities:
- Clients establish institutional or advisory relationships with B. Riley
- Account onboarding and verification occur per regulatory requirements
- Strategic objectives and execution needs are defined with client teams
- Orders and transactions are executed through the firm’s trading infrastructure
- Trades are cleared and settled by the clearing agent (NFS)
- Clients receive confirmations, research, and reporting as part of service delivery
Riley’s model supports institutional execution, capital markets participation, advisory integration, and strategic guidance across client portfolios.
Contact Information and Website
Corporate Contact Information
| Detail | Information |
| Official Website | https://www.brileysecurities.com |
| Headquarters Address | 11100 Santa Monica Blvd., Suite 800, Los Angeles, CA 90025, USA |
| General Phone | +1‑888‑295‑0155 |
| Clearing Agent | National Financial Services LLC (clearing and settlement) |
| Regulatory Status | Member SEC, FINRA, Nasdaq, SIPC |
| CRD | 25027 |
Regional Office / Campus Locations
| Region / Area | Location Cities |
| Headquarters & West Coast | Los Angeles, CA {Main brokerage and institutional operations} |
| Additional Offices | Various U.S. locations {Support offices for investment banking and client services} |
Riley maintains several regional offices to support its services in capital markets, advisory, and institutional brokerage.
Headquarters Location
Why B. Riley Securities Matters for Investors and Institutions
- Riley Securities stands out for:
- Comprehensive brokerage and investment banking services across U.S. markets
- Execution and advisory support suitable for institutional participants
- Market access that includes major U.S. trading venues in the US stock market
- Tailored capital markets solutions for public and private clients
As a respected member of the capital markets ecosystem, B. Riley combines strategic financial advisory with institutional brokerage services typical of experienced stock exchange brokers.
Readers looking for the complete U.S. stock exchanges list can explore our detailed guide.
Frequently Asked Questions
Q1: Is B. Riley Securities regulated?
Yes. B. Riley Securities is registered with the SEC and is a member of FINRA, Nasdaq, and SIPC.
Q2: What services does B. Riley offer?
The firm offers brokerage execution, investment banking, institutional trading, capital markets solutions, and financial advisory.
Q3: Can B. Riley execute trades in U.S. markets?
Yes. B. Riley executes trades across major U.S. markets, including NASDAQ markets as part of its regulatory approvals.
Q4: Where is B. Riley headquartered?
B. Riley Securities is headquartered in Los Angeles, California.
