Open a New Account

Thank you for your interest in opening an account with B. Riley & Co. To accomplish this please follow the steps below.

Step 1

Select which type of account you would like to open:

  • Individual

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Joint

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Trust

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Partnership

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Corporation

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the links below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Limited Liability Company

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation:

    Additional Account Services:

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Custodial for Minor

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • SEP IRA

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Traditional and Roth IRA

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation

    Optional New Account Documentation

    Additional Account Services

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Estate

    Please complete all of the required new account documents and any applicable optional documents by clicking on the links below.

    Required New Account Documentation:

    Please note, when completing your New Account Application, that there are several funds to choose from for the Core Account Investment Vehicle.  By default we use FDAXX, however, if you would like a full list of fund offerings please contact us. The prospectus for FDAXX is available by clicking here.

    Additional Account Services:

    If you would like to add the following service to your account please click on the link below and complete the required documentation.

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

  • Cashless Employee Stock Option Exercise

    Please complete all of the required new account documents by clicking on the links below.

    Required New Account Documentation

    If you have any questions, please contact the Operations Department at 310-966-1444 or .(JavaScript must be enabled to view this email address).

Step 2

Return the completed documents to B. Riley & Co.’s Operations Department.

B. Riley & Co., LLC
Attn: Operations Department
11100 Santa Monica Blvd. Suite 800
Los Angeles, CA 90025
P: (310) 966-1444
F: (310) 966-1448

Step 3

Funding your account:

  • Check Deposit
    • Make check payable to National Financial Services.
    • Write your account number in the memo section of the check.
    • Mail your check to the address to the right.
  • Incoming Wire Transfer

    Provide the following wire transfer instructions to the sending financial institution:

    ABA Routing #: 021 000 021
    Bank Name: JP Morgan Chase
    Account #: 066-196-221
    Account Name: NFS
    For Further Credit to Account #:  Your B. Riley Account Number
    For Further Credit to Account Name: Your B. Riley Account Title

     

  • Full Account Transfer
    1. Complete the Account Transfer Form
    2. Provide a copy of your most recent account statement (for the account you are transferring in).
    3. Return the documents to B. Riley & Co.'s Operations Department using one of the contact methods to the right.
  • Incoming DTC Transfer

    Provide the following DTC delivery instructions to the sending broker:

    1. DTC #0226 National Financial Services, LLC.
    2. Reference: Your B. Riley Account Title & Number
  • Physical Stock Certificate Deposit
    1. Complete the Irrevocable Stock Power Form
    2. Mail the executed Irrevocable Stock Power & the physical stock certificate to the address to the right.

If you would like to open a type of account that is not listed, have any special requests, or any questions please contact us at 310-966-1444.

  • B. Riley & Co. Fee Structure
    Money & Stock Transfers   Fee
    Check Request Free
    Check Request (Overnight) $25
    Stop Payment $30
    Outgoing Wire Transfer $30
    Returned Checks $30
    Outgoing Account Transfer $75
    Physical Positions/Stock Certificates  
    Security Transfers - Physical Stock Certificate Request $250
    Security Transfers - DRS Registration $15
    Security Transfers - Legal (Name change) $100
    Safekeeping Fee $10
    Retirement Accounts  
    IRA Annual Maintenance Fee $35
    IRA Termination Fee $75
    Miscellaneous Fees  
    Annual Inactivity Fee [1] $30
    Trade Extension (past settlement) $15
    Retail Statement/Confirmation Fee per trade  $1.00
    Physical Reorganization Fee $40

    Commissions: Please contact your registered representative for commission information.

    [1] - The Annual Inactivity Fee is not assessed on retirement accounts, accounts that have traded in the prior 12 months, or accounts with money market balances in excess of $10,000.

Account Access - Penson




If you are having difficulties logging in, please contact the Operations Department using one of the methods below.

First time users, must create a User ID and password.

Account Access - National Financial

To access your account, please click here.

If you are having difficulties logging in, please contact the Operations Department using one of the methods below.

First time users, must optain a User ID and PIN from
B. Riley Operations.

Operations Department Contact Information
B. Riley & Co.
Attn: Operations Department
11100 Santa Monica Blvd., Suite 800
Los Angeles, CA 90025
P 310-966-1444
F 310-966-1448