James Windham Rorie
Investment adviser representative at B. Riley Wealth Advisors, Inc.
3 yearsExperience
1 stateRegistered in
$4.2BFirm assets
20 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
3 years in the industry.
- B. Riley Wealth Advisors, Inc.Feb 2022 to now
- B.riley Wealth Management, Inc.Nov 2018 to now
- Duncan-williams, Inc.Mar 2018 to Nov 2018
- UnemployedSep 2017 to Feb 2018
- Cetera Investment Advisers LLCMay 2015 to Sep 2017
- Cetera Investment Services LLCMay 2015 to Sep 2017
- Regions BankApr 2015 to Sep 2017
Exams passed
- Series 66 · Uniform Combined State Law2003
State registrations
Registered as an investment adviser representative in 1 state (TN).
B. Riley Wealth Advisors, Inc.
$4.2BAssets managed
10,573Clients
168Advisers
20 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4613990
- Firm CRD
- 115927