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Andrew Thomas Farago

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

Boca Raton, FLCRD #2478358Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
4 states
Exams Passed
7

Professional summary

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

Andrew Thomas Farago has worked in the securities industry since 2006. They are registered to provide investment advisory services in Florida, New York, Tennessee, and Washington.

Registrations & licenses

Registration type
Dual-registered
Registered in 4 states
FloridaNew YorkTennesseeWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/18/2018
Series 63
Uniform Securities Agent State Law Examination
Passed 11/7/2011
Series 79
Investment Banking Registered Representative Examination
Passed 1/19/2024
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 9/15/1999
Series 7
General Securities Representative Examination
Passed 10/23/1994
Series 24
General Securities Principal Examination
Passed 6/27/2018

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
2/14/2022Boca Raton, FL
B. RILEY WEALTH ADVISORS, INC.Current
7/10/2018Boca Raton,, FL
NATIONAL SECURITIES CORPORATION
6/8/20187/22/2022Boca Raton, FL
NYLIFE SECURITIES LLC
4/28/20141/8/2016Sunrise, FL
MEDITERRANEAN SECURITIES GROUP, LLC
7/2/20129/24/2012Coconut Creek, FL
T3 TRADING GROUP, LLC
4/30/20126/27/2012New York, NY
DAVID LERNER ASSOCIATES, INC.
10/12/20114/2/2012Boca Raton, FL
PROTRADE SECURITIES, LLC
3/22/20113/25/2011Carmel, NY
KOYOTE TRADING LLC
8/3/200912/14/2009New York, NY
SCHOTTENFELD GROUP LLC
12/1/200810/8/2009New York, NY
SANDERS MORRIS HARRIS INC.
4/4/20053/7/2007New York, NY
E*TRADE PROFESSIONAL TRADING, LLC
1/27/20047/27/2004New York, NY
TEMPER OF THE TIMES INVESTOR SERVICES, INC.
11/8/20022/24/2003Harrison, NY
SCHONFELD SECURITIES, LLC
2/22/19995/9/2002Jericho, NY
ON-LINE INVESTMENT SERVICES, INC.
3/24/19982/26/1999New York, NY
SCHONFELD SECURITIES, LLC
3/21/19973/4/1998Jericho, NY
PRUDENTIAL SECURITIES INCORPORATED
2/17/19955/17/1995New York, NY

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. 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.

Andrew Thomas Farago - Financial Advisor in Boca Raton, FL | AdvisorFinder