PRINCIPAL FINANCIAL GROUP IN

Ticker: PFG CUSIP: 74251V102 Class: COM

B. Riley Wealth Advisors, Inc.'s Holding History (CIK: 0001464811)

Note: Option positions (PUT/CALL) are excluded.

Q4 2014
Shares 2,524 Value ($000) $131 Avg Close $34.51 Range $30.89 - $36.24
Q2 2014
Shares 1,825 Value ($000) $92,126 Avg Close $30.95 Range $28.14 - $33.51