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Detailed Report
Alex Gregory Froloff
ALEX GREGORY FROLOFF MR., ALEX GREGORY FROLOFF, ALEX FROLOFF
CRD#: 4304041
IA
Investment Adviser
B
Broker
WEDBUSH SECURITIES INC.CRD#: 877 225 S Lake Ave Penthouse
Pasadena, CA 91101
Registration History
201220142016201820202022202420262 FIRMS2016 - 2020 (4 years)2 FIRMS2021 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BM HOLDINGS SECURITIES, INC. (CRD# 43285)2011 - 2013 (2 years)
License(s)

State Registrations

B
California 11/15/2024
B
Texas 2/27/2025
IA
California 11/15/2024
B
Wyoming 11/15/2024
B
New York 11/15/2024

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
 Investors' Exchange LLC
B
 MEMX LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, 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)
225 S Lake Ave Penthouse, Pasadena, CA 91101
Registered with this firm since 11/15/2024
B
WEDBUSH SECURITIES INC. (CRD#:877)
225 S Lake Ave Penthouse, Pasadena, CA 91101
Registered with this firm since 11/15/2024
Previous Registration(s)
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IA
 12/08/2021 - 11/18/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
B
 12/09/2021 - 11/18/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) EL SEGUNDO, CA
IA
 08/01/2016 - 08/12/2020 PRINCIPAL SECURITIES, INC. (CRD#:1137) COSTA MESA, CA
B
 06/13/2016 - 08/12/2020 PRINCIPAL SECURITIES, INC. (CRD#:1137) COSTA MESA, CA
B
 02/16/2011 - 05/29/2013 M HOLDINGS SECURITIES, INC. (CRD#:43285) EL SEGUNDO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
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.