Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2019 - Present (5 years)BWEDBUSH SECURITIES INC. (CRD# 877)2007 - 2019 (12 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2007 (11 years)IAWEDBUSH SECURITIES INC. (CRD# 877)2008 - 2019 (11 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2007 (9 years)
Disclosure(s)
View By:
6/4/2019
Employment Separation After Allegations
4/19/2007
Employment Separation After Allegations
7/7/2006
Customer Dispute
Closed-No Action
4/6/2005
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 8/23/2019
B
Illinois 9/20/2022
B
California 6/19/2019
B
Nevada 7/1/2019
IA
California 6/20/2019
B
New York 6/19/2019
B
Delaware 6/26/2020
B
North Carolina 5/31/2022
B
Florida 9/12/2019
B
Pennsylvania 6/19/2019
B
Idaho 12/5/2024
B
Virginia 9/13/2019

SRO Registrations

B
 FINRA

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
WESTERN INTERNATIONAL SECURITIES (CRD#:39262)
Port Hueneme, CA
Registered with this firm since 6/20/2019
B
WESTERN INTERNATIONAL SECURITIES, INC. (CRD#:39262)
Port Hueneme, CA
Registered with this firm since 6/19/2019
Previous Registration(s)
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IA
 03/10/2008 - 06/13/2019 WEDBUSH SECURITIES INC. (CRD#:877) MALIBU, CA
B
 05/10/2007 - 06/13/2019 WEDBUSH SECURITIES INC. (CRD#:877) LOS ANGELES, CA
IA
 07/08/1997 - 05/08/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SANTA BARBARA, CA
B
 02/20/1996 - 05/08/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) SANTA BARBARA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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.