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Investment Adviser Firm Summary

WEDBUSH SECURITIES INC. (CRD# 877 / SEC# 8-12987, 801-6358)

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/27/1970
California Cancelled 08/28/2006

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 09/23/2009
Alaska 05/12/2006
Arizona 05/11/2006
Arkansas 11/27/2006
California 07/08/1997
Colorado 01/15/2003
Connecticut 10/16/2006
Delaware 05/01/2008
District of Columbia 09/30/2014
Florida 11/27/2006
Georgia 03/15/2010
Hawaii 05/11/2006
Idaho 11/24/2006
Illinois 02/07/2008
Indiana 02/04/2008
Iowa 04/22/2008
Kansas 11/24/2006
Kentucky 04/21/2008
Louisiana 11/24/2006
Maine 01/25/2010
Maryland 11/24/2006
Massachusetts 04/21/2008
Michigan 02/04/2008
Minnesota 04/21/2008
Mississippi 11/24/2006
Missouri 07/25/2008
Montana 10/01/2009
Nebraska 11/24/2006
Nevada 05/11/2006
New Hampshire 04/21/2008
New Jersey 12/04/2006
New Mexico 11/24/2006
New York 11/24/2006
North Carolina 11/24/2006
North Dakota 08/04/2011
Ohio 11/24/2006
Oklahoma 04/14/2010
Oregon 05/11/2006
Pennsylvania 11/24/2006
Puerto Rico 09/30/2014
Rhode Island 09/30/2014
South Carolina 11/24/2006
South Dakota 02/05/2009
Tennessee 02/02/2017
Texas 11/24/2006
Utah 11/24/2006
Vermont 11/24/2006
Virgin Islands 09/30/2014
Virginia 04/21/2008
Washington 05/11/2006
West Virginia 04/21/2008
Wisconsin 02/04/2008

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser