Stephen Loh is a registered investment advisor, based in Temple City, CA, with 28 years of industry experience.
Location
Temple City, CA
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Regulatory History
Clean regulatory record
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
Stephen is an agent for B. Riley Wealth Insurance, selling fixed insurance products since 2019. This activity requires minimal time and occurs during securities trading hours.
Employment History
Current Registrations
B. Riley Wealth Management
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth ManagementBroker
July 2022 - Present · 3 yrs 10 mos
B. Riley Wealth Advisors, INC.
July 2019 - Present · 6 yrs 10 mos
Previous Registrations
National Securities CorporationBroker
July 2019 - July 2022 · 3 yrs
Wedbush Securities INC.
July 2016 - August 2019 · 3 yrs 1 mo
Wedbush Securities INC.Broker
July 2016 - August 2019 · 3 yrs 1 mo
Wells Fargo Advisors, LLC
January 2011 - July 2016 · 5 yrs 6 mos
Wells Fargo Advisors, LLCBroker
January 2011 - July 2016 · 5 yrs 6 mos
Wells Fargo Investments, LLC
March 2006 - January 2011 · 4 yrs 10 mos
Wells Fargo Investments, LLCBroker
March 2006 - January 2011 · 4 yrs 10 mos
TD Waterhouse Investor Services, INC.
September 2003 - February 2006 · 2 yrs 5 mos
TD Waterhouse Investor Services, INC.Broker
January 1999 - February 2006 · 7 yrs 1 mo
Linsco/private Ledger CORP.Broker
December 1996 - April 1997 · 4 mos
Charles Schwab & CO., INC.Broker
November 1995 - October 1996 · 11 mos
State Registrations31 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.