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JB

James Baroutas

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

New York, NYCRD #1252613Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
42 yrs
States Registered
24 states
Exams Passed
5

Professional summary

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

James Baroutas has worked in the securities industry since 1984. They are registered to provide investment advisory services in 24 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 24 states
ArizonaCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaIllinoisLouisianaMaineMarylandMichiganMontanaNevadaNew JerseyNew YorkNorth CarolinaOhioOregonPennsylvaniaSouth CarolinaTexasUtahVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/30/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 4/24/1984
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 1/21/1985
Series 7
General Securities Representative Examination
Passed 3/17/1984

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
7/25/2022New York, NY
B. RILEY WEALTH MANAGEMENTCurrent
1/20/2015Edgewater, NJ
B RILEY WEALTH MANAGEMENT
1/20/201512/31/2022New York, NY
DOMINICK & DOMINICK LLC
6/7/20111/26/2015New York, NY
MORGAN STANLEY SMITH BARNEY LLC
4/15/20115/23/2011New York, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
2/1/20064/20/2011New 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. James Baroutas 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.

James Baroutas - Financial Advisor in New York, NY | AdvisorFinder