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Wedbush Securities Inc. CRD 877
$5.68B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2007-10-22 |
Branch Locations
225 S Lake Ave Penthouse, Pasadena, CA 91101 • United States
Two Union Square Ste 5050 601 Union Street, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wedbush Morgan Securities | Seattle | WA | 01/2003 | Present |
(1) Nautics Wealth Management; investment-related; Seattle, WA; DBA used for securities business done through Wedbush Securities; Managing Director, Investments; start: 08/2023; about 160 hours a month are devoted to this activity; about 160 hours a month are devoted to this activity during business hours; wealth management.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-13 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-24 |
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