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Kelly Graham

B. Riley Wealth Advisors, INC.
38 Years of Experience
Hermitage, TN
1 DisclosureBroker
View SEC Summary
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Kelly Graham is a registered investment advisor at B. Riley Wealth Advisors, INC., based in Hermitage, TN, with 38 years of industry experience. Kelly is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 10,573 clients with $4.2B in assets under management.

B. Riley Wealth Advisors, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
167 advisors
Number of Clients
10,573 clients
Average Client Portfolio
$398K average
Assets Under Management
$4.2B

Fee Structure

Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K2.75%
$250K - $1.0M2.50%
$1M+2.00%

Maximum annual fee rates shown. Rates vary depending on whether transaction fees are bundled (wrap) or paid separately (non-wrap). Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Hermitage, TN

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2008
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kelly owns Richland Street Creative, providing proofreading and writing services, dedicating minimal time. She also uses Graham/Johnson as a marketing name for her financial securities business with B. Riley Wealth Management, which takes nearly full-time hours, and is the Vice President of Universal Brotherhood Movement Inc, a non-profit spiritual organization, dedicating minimal time.

Employment History
Current Registrations
B. Riley Wealth Advisors, INC.
July 2022 - Present · 4 yrs 3 mos
B. Riley Wealth Management
June 2016 - Present · 10 yrs 4 mos
B. Riley Wealth ManagementBroker
June 2016 - Present · 10 yrs 4 mos
Previous Registrations
B Riley Wealth Management
June 2016 - December 2022 · 6 yrs 6 mos
UBS Financial Services INC.
April 2004 - July 2016 · 12 yrs 3 mos
UBS Financial Services INC.Broker
July 2001 - July 2016 · 15 yrs
Prudential Securities IncorporatedBroker
August 1989 - July 2001 · 11 yrs 11 mos
Thomson Mckinnon Securities INC.Broker
November 1987 - August 1989 · 1 yr 9 mos
State Registrations25 states
ALAZCACTFLGAIDINKYLAMAMDMIMSNCNVNYOHOKORSCTNTXWAWV
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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