Wedbush Securities Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$6,446,538,558
Clients
10,653
Advisors
218
across 59 offices
About
Wedbush Securities provides both investment advisory and broker‑dealer services to a mix of individual, high‑net‑worth and institutional clients, including trusts, pension and profit‑sharing plans, foundations/charities and pooled investment vehicles. The firm’s services, as described in the brochure, span Wealth Management, Fixed Income, Commodities, Securities Lending, Capital Markets and Advanced Clearing and Prime Services, and include discretionary and non‑discretionary portfolio management, wrap fee programs and institutional research.
Financial Consultants act as portfolio managers who implement strategies tailored to client objectives, risk tolerances and time horizons, and the Wedbush Asset Management group administers SMA/MMA/UMA/IMA offerings and conducts due diligence on third‑party managers. The brochure also describes Research Services provided on an impersonal basis to institutional clients and notes that Wedbush can execute and clear trades as a broker‑dealer, with certain account arrangements historically involving transaction‑based commissions.
Noteworthy details in the brochure include that Wedbush provides custodial, clearing and prime services and engages in commodities and securities lending activities — operational capabilities that the firm highlights alongside its dual registration as both an adviser and a broker‑dealer. The brochure also discloses a number of regulatory and disciplinary matters (SEC, FINRA, NYSE) and details the firm’s relationships with pooled funds and other institutional clients, information that may be relevant to prospective clients evaluating conflicts, controls and operational scope.
Client services
Expertise
Occupation focus
Fee options
$0 - $250,000: 3.00% $250,001 - $500,000: 2.80% $500,001 - $1,000,000: 2.50% $1,000,001 - $3,000,000: 1.90% $3,000,001 - $5,000,000: 1.60% $5,000,001+: Negotiable
Transaction-based fees for Discretionary Managed Transactional (DMT) accounts, and commissions on securities transactions when WS acts as broker.
Account minimum: $25,000 Minimum fee: Discretionary Managed Account – Independent Contractor (DMI-IC): Minimum quarterly fee of $62.50 ($250 annually); Self-Directed Investment Advisory Accounts – Independent Contractor (SDI-IC): Minimum quarterly fee of $125 ($500 annually); Managed Model Account (MMA), Separately Managed Account (SMA), Unified Managed Account (UMA): Minimum quarterly fee of $250 ($1,000 annually) Fee-only: Financial Planning services have a separate fee detailed in the Financial Planning Agreement, depending on time allocated or complexity, specifics not provided.
Main office
See office225 S. Lake Ave Penthouse
Pasadena CA 91101
Advisors at this office
42
Offices (59)
Pasadena, CA 225 S. Lake Ave Penthouse
225 S. Lake Ave Penthouse, Pasadena, CA 91101
42 advisors
Pasadena, CA 225 S Lake Ave Penthouse
225 S Lake Ave Penthouse, Pasadena, CA 91101
34 advisors
Seattle, WA
Two Union Square Ste 5050 601 Union Street, Seattle, WA 98101
13 advisors
Newport Beach, CA Newport Center Dr
500 Newport Center Dr Ste 850, Newport Beach, CA 92660
11 advisors
Denver, CO
Metropoint I 4600 So. Ulster St #1350, Denver, CO 80237
10 advisors
Most active in
Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Also doing business as
Wedbush Morgan Securities Inc. · Wedbush Pacgrow · Wedbush Securities Inc. · Wedbush Securities, Inc. · Wedbush, Noble, Cooke, Inc
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Advisors at this firm
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