Anthony Duvall Lee

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	2025-01-01

CA RA
APPROVED

Since 2025-01-01

Branch Locations

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

Disclosures

2 disclosure categories 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Wedbush Securities Inc	Woodland Hills	CA	04/2010	Present

04/2010 → Present

Wedbush Securities Inc

Woodland Hills, CA

Previous Registrations

2001-07-18 → 2010-04-30

Ubs Financial Services Inc.

Encino, CA

Sherman Oaks, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1996-04-17
S63	Uniform Securities Agent State Law Examination	1995-10-30

S65 Uniform Investment Adviser Law Examination

1996-04-17
S63 Uniform Securities Agent State Law Examination

1995-10-30

View on SEC IAPD

Current Employers

Wedbush Securities Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

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