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Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2024-10-22 |
Branch Locations
500 Newport Center Dr Ste 850, Newport Beach, CA 92660 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stifel Nicolaus & Co Inc | San Juan Capistrano | CA | 03/2016 | 02/2020 |
| Wedbush Securities Inc. | Newport Beach | CA | 02/2020 | Present |
(1) SAFETY SYSTEMS TECHNOLOGY (NV), INC.; LAGUNA HILLS, CA; LLC; MANUFACTURER OF SAFETY EQUIPMENT; SECRETARY AND BOARD MEMBER; MEETS WITH THE BOARD MEMBERS AND SIGNS BOARD MEETING MINUTES; AFFILIATION STARTED 02/2006; 1 HOUR PER QUARTER; NOT DURING SECURITIES TRADING HOURS; NOT INVESTMENT-RELATED. (2) TONY MAY WEALTH MANAGEMENT GROUP OF WEDBUSH SECURITIES; NEW PORT BEACH, CA; INVESTMENT RELATED; TEAM MARKETING NAME; INVESTMENT ASSOCIATE; START: 7/2024; NO HOURS ARE DEVOTED; NO DUTIES; TEAM NAME.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-10-21 |
| S63 | Uniform Securities Agent State Law Examination | 2017-02-27 |
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