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Daniel Michael Besse

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

Fairfield, CTCRD #4664012Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
20 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Connecticut
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 1/7/2006
SIE
Securities Industry Essentials Examination
Passed 12/1/2014
Series 3
National Commodity Futures Examination
Passed 10/1/2010
Series 31
Futures Managed Funds Examination
Passed 6/25/2008
Series 7
General Securities Representative Examination
Passed 12/4/2004

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 ADVISORS, INC.Current
12/20/2019Fairfield, CT
STRATOS WEALTH ADVISORS LLC
3/27/20181/2/2020Westport, CT
RSM US WEALTH MANAGEMENT LLC
12/11/20143/30/2018Westport, CT
WASHINGTON WEALTH MANAGEMENT
12/22/20111/5/2015Westport, CT
MORGAN STANLEY SMITH BARNEY LLC
6/1/20091/3/2012Fairfield, CT
MORGAN STANLEY & CO. INCORPORATED
4/2/20076/1/2009Fairfield, CT
MORGAN STANLEY
11/24/20064/2/2007Fairfield, CT
MERRILL LYNCH PIERCE FENNER & SMITH INC.
1/9/200611/28/2006Fairfield, CT

Official records & sources

Data as of August 10, 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. Daniel Michael Besse 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.

Daniel Michael Besse - Financial Advisor in Fairfield, CT | AdvisorFinder