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WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC., WEDBUSH, NOBLE, COOKE, INC, WEDBUSH SECURITIES, INC., WEDBUSH SECURITIES INC., WEDBUSH PACGROW
CRD#: 877/SEC#: 801-6358,8-12987
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Brokerage Firm Regulated by FINRA (Los Angeles district office)
IA
Investment Adviser FirmVisit SEC Site
MAIN ADDRESS
1000 WILSHIRE BLVD. SUITE 900
ATTN: COMPLIANCE
LOS ANGELES, CA 90017-2457 UNITED STATES
Disclosures
209 Total Disclosures
145Regulatory Event3Civil Event60Arbitration1Bond
For details of these disclosures as well as disclosures involving non-registered affiliated entities refer to the Detailed Report. For disclosures involving registered affiliated entities visit the BrokerCheck page for those firms.
General Information
Main Office Location 1000 WILSHIRE BLVD. SUITE 900
ATTN: COMPLIANCE
LOS ANGELES, CA 90017-2457 UNITED STATES
Mailing Address 1000 WILSHIRE BLVD. SUITE 900
ATTN: COMPLIANCE
LOS ANGELES, CA 90017-2457 UNITED STATES
Phone(213) 688-8090
Established inCalifornia since 07/08/1966
TypeCorporation
Fiscal Year End June
Direct Owners and Executive Officers
NamePosition
WEDBUSH FINANCIAL SERVICES, LLC OWNER
BILLINGS, DANIEL ERIC (CRD#:4568232) EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR
BLAND, GEOFFREY CONOR (CRD#: 7358773) DIRECTOR
DEMPSEY, FRANCIS BURKE (CRD#:2428325) EXECUTIVE VICE PRESIDENT
DRUCH, ANDREW WALTER (CRD#:1688071) EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR
FITZSIMMONS, ROBERT GERARD (CRD#:1878661) EXECUTIVE VICE PRESIDENT
FRAUNCES, KIRSTEN CAMPBELL (CRD#:2933930) EXECUTIVE VICE PRESIDENT
HULTGREN, DONALD WAYNE (CRD#:1475369) EXECUTIVE CHAIR, DIRECTOR
MONE, CHRISTOPHER MICHAEL (CRD#:2401952) EXECUTIVE VICE PRESIDENT
PARRODE, RODRIGO NMN (CRD#:4905345) EVP, CHIEF OPERATING OFFICER
PASET, ROBERT EDWARD (CRD#:1055902) EXECUTIVE VICE PRESIDENT
PRESTON, ERIN KATHLEEN (CRD#:5314250) CHIEF COMPLIANCE OFFICER
WEDBUSH, GARY LANCE (CRD#:2234455) PRESIDENT, DIRECTOR
WEDBUSH FINANCIAL SERVICES, LLC
OWNER

EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR

BLAND, GEOFFREY CONOR (CRD#: 7358773)
DIRECTOR


EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR



EXECUTIVE CHAIR, DIRECTOR


EVP, CHIEF OPERATING OFFICER

EXECUTIVE VICE PRESIDENT



Licenses
52 U.S. States and Territories
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Alabama

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Alaska

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Arizona

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Arkansas

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California

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Colorado

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Connecticut

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Delaware

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District of Columbia

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Florida

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Georgia

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Hawaii

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Idaho

B
Illinois

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Indiana

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Iowa

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Kansas

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Kentucky

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Louisiana

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Maine

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Maryland

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Massachusetts

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Michigan

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Minnesota

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Mississippi

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Missouri

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Montana

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Nebraska

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Nevada

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New Hampshire

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New Jersey

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New Mexico

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New York

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North Carolina

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North Dakota

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Ohio

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Oklahoma

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Oregon

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Pennsylvania

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Puerto Rico

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Rhode Island

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South Carolina

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South Dakota

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Tennessee

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Texas

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Utah

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Vermont

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Virginia

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Washington

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West Virginia

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Wisconsin

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Wyoming

Other Registrations
Federal
SEC

Self-Regulatory Organizations
FINRA
And 23 others. See Detailed Report.
This firm conducts 18 types of business

This firm is affiliated with financial and investment institutions

This firm does not have referral or financial arrangements with other brokers or dealers
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

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