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Allison Barbara Clago

Investment Adviser Representative at B. RILEY WEALTH ADVISORS, INC.

Tarzana, CACRD #1193764Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
40 yrs
States Registered
31 states
Exams Passed
9

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Allison Barbara Clago has worked in the securities industry since 1986. They are registered to provide investment advisory services in 31 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 31 states
AlabamaArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaHawaiiIllinoisIndianaKansasLouisianaMarylandMassachusettsMinnesotaMontanaNebraskaNevadaNew HampshireNew MexicoNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaTennesseeTexasUtahVirginiaWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/20/2002
Series 63
Uniform Securities Agent State Law Examination
Passed 12/30/1987
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 5/18/1985
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 6/23/1998
Series 24
General Securities Principal Examination
Passed 9/21/1989
Series 4
Registered Options Principal Examination
Passed 10/12/1987

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $25,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

B. Riley Wealth Advisors, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

B. RILEY WEALTH MANAGEMENTCurrent
7/22/2022Tarzana, CA
B. RILEY WEALTH ADVISORS, INC.Current
7/29/2019Tarzana, CA
WEDBUSH SECURITIES INC.
1/5/20166/6/2019Los Angeles, CA
STOCKCROSS FINANCIAL SERVICES
12/5/200812/1/2015Beverly Hills, CA
TD AMERITRADE, INC.
9/11/200312/4/2006Beverly Hills, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Allison Barbara Clago has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Allison Barbara Clago - Financial Advisor in Tarzana, CA | AdvisorFinder