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Samuel James Garlock

Wedbush Securities Inc.

Pasadena, CA

Lake Oswego, OR

CRD 1949549

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Employer firm

Wedbush Securities Inc. CRD 877

$5.68B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Wedbush Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2014-05-05
  • OR RA
    APPROVED
    Since 2014-05-05

Branch Locations

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

5885 Sw Meadows Road Ste 150, Lake Oswego, OR 97035 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ragen Mackenzie Incorporated Portland OR 01/1994 Present
Wedbush Morgan Securities Salem OR 01/2004 Present
  • 01/1994 → Present
    Ragen Mackenzie Incorporated
    Portland, OR
  • 01/2004 → Present
    Wedbush Morgan Securities
    Salem, OR
Previous Registrations
  • 1995-04-05 → 2004-02-02
    Wells Fargo Investments, Llc
    Portland, OR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-18
S63 Uniform Securities Agent State Law Examination 1989-06-01
  • S65 Uniform Investment Adviser Law Examination
    1992-11-18
  • S63 Uniform Securities Agent State Law Examination
    1989-06-01
Other Names
  • Sam Garlock

View on SEC IAPD

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