Wedbush Securities Inc. logo

Wedbush Securities Inc.

Updated today

Total assets under management

$5,684,848,455

Total clients

9,927

27% high-net worth

Total advisors

222

of 897 employees

Firm size

Enterprise

51-2,000 advisors or $10B+ in AUM

Average clients per advisor

45

Average account size

$572,665

About

Wedbush Securities serves a broad client mix including individual and high‑net‑worth investors, foundations and institutional clients, and offers both brokerage and SEC‑registered investment advisory services across wealth management, fixed income, commodities, securities lending, capital markets, advanced clearing and prime services. The firm reports approximately $5.68 billion in regulatory assets under management and operates multiple managed account and wrap fee programs alongside commission‑based brokerage arrangements.

The firm provides discretionary and non‑discretionary managed accounts, separately managed and unified managed account solutions, and impersonal paid Research Services offered to institutional clients; Financial Consultants manage accounts in accordance with client objectives while Research Services are delivered as general, non‑personalized reports and may be funded by cash payments or commissions under Section 28(e). Wedbush also performs clearing, custodial and execution functions for client accounts and describes account structures that include transaction‑based fee arrangements and Independent Contractor platforms that may assess per‑trade charges.

What is distinctive in this brochure compared with many enterprise advisers is the firm's mix of broker‑dealer and capital markets functions with custody/clearing and prime services tied to commodities and derivatives activity — the document describes the firm clearing and settling transactions, providing custodial services and operating commodities and prime services businesses, and notes affiliated futures and swap‑related activities and continued use of commission‑based execution and payment‑for‑order‑flow arrangements. The brochure also discloses a history of regulatory enforcement matters and settlements addressing recordkeeping, customer protection and supervisory deficiencies, which it describes alongside its policies for research conflicts, personal trading controls and compliance oversight.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers Educational seminars or workshops

Expertise

Wealth management Retirement plans for business owners (SEP, solo 401k)

Occupation focus

Founder/Business Owner

Fee options

Percentage

$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

Commissions

Transaction-based fees for Discretionary Managed Transactional (DMT) accounts; commissions retained by WS when acting as broker

Other

Account minimum: $25,000 Minimum fee: $250 annually for DMI-IC accounts; $500 annually for SDI-IC accounts; $1,000 annually for MMA, SMA, UMA accounts Fee-only: Financial Planning fees charged separately based on complexity and time allocated; negotiable fees for advisory services

Main office location

Wedbush Securities Inc.

Attn: Compliance Dept., 225 S. Lake Ave Penthouse

Pasadena CA 91101, United States

Number of offices

59

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

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

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Mark K

Series 63, Series 65

Radnor, PA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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David H

Series 63, Series 66

San Diego, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Thomas P

Series 63

Anchorage, AK

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Patrick L

Series 63

Modesto, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Dwayne M

Series 63, Series 65, Series 66

Honolulu, HI

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Cole P

Series 66

Denver, CO

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Jonathan N

Series 66

Newport Beach, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Lawrence B

Series 63

Tarzana, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Michael K

Series 63, Series 65

Pasadena, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Kevin J

Series 63, Series 65

Lake Oswego, OR

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Collin M

Series 63, Series 65

Denver, CO

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Andrew E

Series 63

Pasadena, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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William B

Series 63

Radnor, PA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Jacqueline C

Series 66

Pasadena, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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Charles H

Series 63, Series 65

Placentia, CA

Wedbush Securities Inc.

Wealth management Retirement plans for business owners (SEP, solo 401k) Founder/Business Owner
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