Institutional Account Documentation - Clearing Firm Conversion

Please find below a list of documents that may be required for your account.  Please contact the Operations Department at 310-966-1444 or via email to .(JavaScript must be enabled to view this email address) with any questions.

  • NFS Prime Brokerage Form 151 - For Executing Broker accounts that are primed away from NFS, you must return a completed and signed Form 151 via fax to 310-966-1448 or via email to .(JavaScript must be enabled to view this email address).
     
  • DVP/RVP Statement Mailing Suppression Consent Form - To opt out of receiving mailed monthly statements for your DVP/RVP accounts, please complete the attached consent form and return the original via mail to:

             B. Riley & Co., LLC
             Attn: Operations Department
             11100 Santa Monica Blvd. Suite 800
             Los Angeles, CA 90025

            Should you elect this option suppressed statements will be made available upon request. 

  • Sample Authorized Trader Form - In order to accept trades on your account we are required to obtain a list of Authorized Traders for your entity.  Please fax an approved list of Authorized Traders to 310-966-1448 or email the list to .(JavaScript must be enabled to view this email address), a sample form of this is attached for your convenience.  You may also submit the list on your proprietary form in lieu of the attached form.
     
  • Annual Customer Disclosure Letter - 2012 - This notice reflects changes to our business continuity plan and privacy policy with respect to our change in clearing firm and contains other important notices that we are required to provide to you on an annual basis. This information is for your records.