Richard Scott Graham

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2007-01-09
WA	RA	APPROVED	2006-09-08

CA RA
APPROVED

Since 2007-01-09
WA RA
APPROVED

Since 2006-09-08

Branch Locations

Issaquah, WA • United States

225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wedbush Securities	Seattle	WA	09/2006	Present

09/2006 → Present

Wedbush Securities

Seattle, WA

Previous Registrations

2006-08-12 → 2006-09-21

Ubs Financial Services Inc.

Seattle, WA
2000-08-22 → 2006-08-12

Piper Sandler & Co.

Minneapolis, MN

Seattle, WA

Seattle, WA

Other Businesses

(1) CR 194 LLC; INVESTMENT-RELATED; SEATTLE,WA; LLC FOR INHERITED REAL ESTATE; MANAGING MEMBER; STAR: 01/2023; APPROX: 5 HOURS PER YEAR DEVOTED; DUTIES: MANAGING MEMBER OF LLC

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-03
S63	Uniform Securities Agent State Law Examination	1988-12-05

S65 Uniform Investment Adviser Law Examination

1999-12-03
S63 Uniform Securities Agent State Law Examination

1988-12-05

Other Names

Scott Graham

View on SEC IAPD