Gene Sam Wong

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	2009-08-27

WA RA
APPROVED

Since 2009-08-27

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

Disclosures

1 disclosure category 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 No

Employment History

Organization	City	State	From	To
Wedbush Morgan Securities	Seattle	WA	08/2009	Present

08/2009 → Present

Wedbush Morgan Securities

Seattle, WA

Previous Registrations

2006-08-12 → 2009-09-01

Ubs Financial Services Inc.

Seattle, WA

Weehawken, NJ

Seattle, WA

Seattle, WA
2001-12-17 → 2006-08-12

Piper Sandler & Co.

Seattle, WA

Minneapolis, MN

Seattle, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-11-06
S63	Uniform Securities Agent State Law Examination	1986-12-08

S65 Uniform Investment Adviser Law Examination

2001-11-06
S63 Uniform Securities Agent State Law Examination

1986-12-08

View on SEC IAPD

Current Employers

Wedbush Securities Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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