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Current Employers
Wedbush Securities Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-09-19
  • CA RA
    APPROVED
    Since 2018-09-19

Branch Locations

San Clemente, CA • United States

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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Morgan Stanley & Co., Incorporated Carlsbad CA 04/2007 08/2018
Wedbush Securities Inc San Diego CA 08/2018 04/2022
Wedbush Securities Inc La Jolla CA 05/2022 Present
Previous Registrations
  • 2009-06-01 → 2018-08-09
    Carlsbad, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    New York, NY
    Carlsbad, CA
  • 1998-10-30 → 2007-04-02
    Morgan Stanley Dw Inc.
    Del Mar, CA
    Del Mar, CA
    Carlsbad, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-12-13
  • S63 Uniform Securities Agent State Law Examination
    1983-12-13
Other Names
  • John B Knoth

View on SEC IAPD

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