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Registration History
19952000200520102015202020252 FIRMS1999 - 2004 (4 years)IAWEDBUSH SECURITIES INC. (CRD# 877)2008 - Present (16 years)BWEDBUSH SECURITIES INC. (CRD# 877)2004 - Present (21 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)1993 - 1999 (6 years)BLEHMAN BROTHERS INC. (CRD# 7506)1993 - 1993 (<1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1992 - 1993 (1 year)
Disclosure(s)
View By:
7/15/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 1/13/2023

B
Kentucky 5/16/2024

B
California 1/23/2004

B
Maryland 1/23/2004

IA
California 9/22/2008

B
New Mexico 11/13/2020

B
Colorado 2/9/2016

B
New York 1/23/2004

B
Florida 1/9/2017

B
Oregon 1/23/2004

B
Georgia 9/12/2018

B
Pennsylvania 3/18/2020

B
Illinois 7/1/2024

B
Tennessee 1/23/2025

B
Indiana 1/23/2004

B
Texas 5/29/2020

B
Kansas 1/7/2022

B
Washington 2/26/2018

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WEDBUSH SECURITIES INC. (CRD#:877)
CALABASAS, CA
Registered with this firm since 9/22/2008

B
WEDBUSH SECURITIES INC. (CRD#:877)
CALABASAS, CA
Registered with this firm since 1/23/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/06/1999 - 02/03/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WOODLAND HILLS, CA
B
10/01/1999 - 02/03/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
07/31/1993 - 10/06/1999 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
03/26/1993 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
01/17/1992 - 04/02/1993 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.