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Detailed Report
ALICIA DAWN SORENSEN
ALICIA D GARCIA, ALICIA DAWN GARCIA
CRD#: 4318135
IA
Investment Adviser
B
Broker
WEDBUSH SECURITIES INC.CRD#: 877 Azusa, CA
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2007 (4 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2009 (1 year)2 FIRMS2013 - 2019 (6 years)2 FIRMS2019 - Present (5 years)BMBSC SECURITIES CORPORATION (CRD# 231)2010 - 2013 (2 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2001 - 2003 (2 years)BPAINEWEBBER INCORPORATED (CRD# 8174)2001 - 2001 (<1 year)
Disclosure(s)
View By:
3/5/2019
Employment Separation After Allegations
License(s)

State Registrations

IA
California 9/6/2019
B
North Dakota 6/8/2020
B
California 9/10/2019
B
Oregon 6/8/2020
B
North Carolina 6/9/2020
B
Vermont 10/14/2020

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
 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)
B
WEDBUSH SECURITIES INC. (CRD#:877)
Azusa, CA
225 S Lake Ave Penthouse, Pasadena, CA 91101
Registered with this firm since 9/9/2019
IA
WEDBUSH SECURITIES INC. (CRD#:877)
Azusa, CA
225 S Lake Ave Penthouse, Pasadena, CA 91101
Registered with this firm since 9/6/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/19/2013 - 04/04/2019 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN FRANCISCO, CA
B
 04/10/2013 - 04/04/2019 HSBC SECURITIES (USA) INC. (CRD#:19585) SAN FRANCISCO, CA
B
 06/14/2010 - 03/25/2013 MBSC SECURITIES CORPORATION (CRD#:231) SAN FRANCISCO, CA
IA
 09/17/2008 - 10/02/2009 HSBC SECURITIES (USA) INC. (CRD#:19585) ENCINO, CA
B
 09/17/2008 - 10/02/2009 HSBC SECURITIES (USA) INC. (CRD#:19585) ENCINO, CA
IA
 05/29/2007 - 09/08/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
B
 05/29/2007 - 09/08/2008 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) GLENDALE, CA
IA
 05/08/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) PASADENA, CA
B
 05/08/2003 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) PASADENA, CA
B
 03/21/2001 - 05/16/2003 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 01/22/2001 - 02/27/2001 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
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.