Luis Sepulveda is a registered investment advisor, based in Oakbrook Terrace, IL, with 33 years of industry experience.
Location
1 Tower Lane, Suite 2225, Oakbrook Terrace, IL, 60181
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Luis is an agent for B. Riley Wealth Insurance Corporation, selling health and life insurance, dedicating about 10-20% of his time to this during trading hours. He also operates under the DBA JBT Wealth Management for his financial securities business and serves as secretary for Nottingham Ridge Homeowners Association, dedicating minimal time.
Employment History
Current Registrations
B. Riley Wealth ManagementBroker
B. Riley Wealth Advisors, INC.
Previous Registrations
National Securities CorporationBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Ryan Beck & CO.Broker
Gruntal & CO., L.L.C.Broker
Prudential Securities IncorporatedBroker
Chatfield Dean & CO., INC.Broker
State Registrations17 states
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.