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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
WA RA APPROVED 2019-02-14
CA RA APPROVED 2008-03-20
  • WA RA
    APPROVED
    Since 2019-02-14
  • CA RA
    APPROVED
    Since 2008-03-20

Branch Locations

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

Vancouver, WA • 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
Wedbush Morgan Securities Sacramento CA 03/2008 Present
  • 03/2008 → Present
    Wedbush Morgan Securities
    Sacramento, CA
Previous Registrations
  • 2004-01-26 → 2008-03-24
    M.L. Stern & Co., Llc.
    Sacramento, CA
    Sacramento, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-16
S63 Uniform Securities Agent State Law Examination 1985-03-04
  • S65 Uniform Investment Adviser Law Examination
    1999-11-16
  • S63 Uniform Securities Agent State Law Examination
    1985-03-04

View on SEC IAPD

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