Andrew Thomas Farago
Investment Adviser Representative at B. Riley Wealth Advisors, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Andrew Thomas Farago is an investment adviser representative with B. Riley Wealth Advisors, Inc. in Boca Raton, FL, where they have been registered since 2018. They have worked in the securities industry since 2006 and have been registered with 15 firms, including National Securities Corporation and Nylife Securities LLC. They have passed 7 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Florida.
Registrations & licenses
- Investment adviser:
- Florida
- Broker:
4 states and territories
Florida, New York, Tennessee, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- National Securities CorpMay 2018 – Jul 2022Boca Raton, FL
- UnemployedDec 2015 – Jan 2018Boca Raton, FL
- Keller WilliamsJan 2018 – May 2018Boca Raton, FL
- B. Riley Wealth AdvisorJul 2022 – no end date reportedMemphis, TN
- B. Riley Wealth ManagementJul 2022 – no end date reportedMemphis, TN
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About B. Riley Wealth Advisors, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Firm account minimum
- $25,000 (waivable)
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Wealth management, investment management, financial planning, brokerage, tax preparation and tax strategy, managed accounts, securities-based lending, insurance, corporate retirement plans, lending and liquidity resources, capital markets, corporate executive services, education planning, retirement planning, risk management, trust coordination, and legacy planning and wealth transfer.
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 168
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Memphis, TN
- SEC file number:
- 801-64837
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at B. Riley Wealth Advisors, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Andrew Thomas Farago 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.
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