Thomas Cushing Buckingham

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

Authority	Category	Status	Date
WA	RA	APPROVED	2009-01-02

WA RA
APPROVED

Since 2009-01-02

Branch Locations

Camano Island, WA • United States

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

Organization	City	State	From	To
Wedbush Morgan Securities	La Jolla	CA	01/2009	Present

01/2009 → Present

Wedbush Morgan Securities

La Jolla, CA

Previous Registrations

1998-04-20 → 2008-12-31

First Wall Street Corp.

Stanwood, WA

La Jolla, CA

Stanwood, WA

La Jolla, CA

San Diego, CA

Other Businesses

401K PLANNING GROUP, LLC DBA MULBERRY COMMUNICATIONS; INVESTMENT RELATED; CAMANO ISLAND, WA; PUBLISH FINRA REVIEWED INVESTMENT NEWSLETTER; OWNER; START: 7/1999; APPROX 2 HOURS PER MONTH DEVOTED AND NONE DURING TRADING HOURS; DUTIES: GATHER RELEVANT INVESTMENT DATA AND FACTS TO PRODUCE A QUARTERLY NEWSLETTER.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-29
S63	Uniform Securities Agent State Law Examination	1988-04-06

S65 Uniform Investment Adviser Law Examination

1992-07-29
S63 Uniform Securities Agent State Law Examination

1988-04-06

View on SEC IAPD