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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX is available by clicking here.

    Optional New Account Documentation

    • Margin Account (to be completed)
    • Penny Stock Trading (for OTC Bulletin Board and Pink Sheet securities priced under $5)
    • Options Trading
      We are required to provide you with the following disclosure documents (for your records only):
    • Trading Authorization (Partial - Trading Only and Full - Trading and Disbursements)

       

      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.

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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).

  • 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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).

  • 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:

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX 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

    Core Investment Vehicle
    When completing your New Account Application there are several options to choose from for the Core Account Investment Vehicle.  These options include a Bank Deposit Sweep Program (“BDSP”), a money market fund, or you may opt to leave your funds in cash.  For more information on the BDSP, please click here to view disclosure.  By default we use FZBXX, a Fidelity Government Money Market Fund, however, if you would like a full list of fund offerings please contact us. The prospectus for FZBXX is available by clicking here.

    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.

  • Fee Structure

    B. Riley & Co. Fee Structure
       
      Accounts with prefix
     RLC

    Accounts with prefix
    RWM or RLW

    Money & Stock Transfers           prefix RLC prefix RLC prefi  Pprep Rep Code:
    MGF, MGC, ERM
     Rep Code:
      NMG, EMP
    Check Request No Cost No Cost No Cost
    Check Request (Overnight) $25 No Cost No Cost
    Stop Payment $30 No Cost No Cost
    Outgoing Wire Transfer $15 No Cost $15
    Returned Checks $30 No Cost $20
    Outgoing Account Transfer $75 No Cost $75
    Physical Positions/Stock Certificates  
    Security Transfers - Physical Stock Certificate Request $250 No Cost No Cost
    Security Transfers - DRS Registration $15 No Cost No Cost
    Security Transfers - Legal (Name change) $100 No Cost No Cost
    Legal Return $65 No Cost $25
    Safekeeping Fee $10 No Cost No Cost
    Cash Management Solutions  
    Brokerage Access Checkwriting $50 No Cost No Cost
    Brokerage Portfolio Gold $100 No Cost No Cost
    Brokerage Portfolio Platinum $150 No Cost No Cost
    Retirement Accounts  
    IRA Annual Maintenance Fee $35 No Cost $35
    IRA Termination Fee $75 No Cost $75
    Miscellaneous Fees  
    Annual Inactivity Fee [1] $30 No Cost $50
    Trade Extension (past settlement) $15 No Cost No Cost
    Retail Statement/Confirmation Fee per trade  $1.00 No Cost No Cost
    Physical Reorganization Fee $40 No Cost $25

    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.