-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WXotyzrGxyX5Wes03bhV3fHl6zEE3FBx1B6qrJprvxvR3wTrcXSxKRE1PZXRzCeH hcnXcG54vrLNOHdyhCDB8Q== 0001142495-10-000001.txt : 20100120 0001142495-10-000001.hdr.sgml : 20100120 20100120134457 ACCESSION NUMBER: 0001142495-10-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100120 DATE AS OF CHANGE: 20100120 EFFECTIVENESS DATE: 20100120 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WEDBUSH MORGAN SECURITIES INC CENTRAL INDEX KEY: 0001142495 IRS NUMBER: 952495390 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12460 FILM NUMBER: 10535692 BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BLVD., SUITE 900 STREET 2: ATTN: BUSINESS CONDUCT DEPT. CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-688-8090 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BLVD., SUITE 900 STREET 2: ATTN: BUSINESS CONDUCT DEPT. CITY: LOS ANGELES STATE: CA ZIP: 90017 13F-HR 1 wms_q4-200913f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 Check here if Amendment |_|; Amendment Number: ______ This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Wedbush Morgan Securities, Inc. Address: 1000 Wilshire Blvd. Los Angeles, CA 90017 Form 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: James Guillou Title: Private Client Services Phone: (213) 688-8006 Signature, Place, and Date of Signing: James Guillou Los Angeles, CA Jan 20, 2010 - - ----------------------------- ---------------------------- --------------- [Signature] [City, State] [Date] Report Type (Check only one.): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-__________________ ___________________________________ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Form 13F Information Table Entry Total: 369 Form 13F Information Table Value Total: 196121.70 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE [Repeat as necessary.] WEDBUSH DISCRETIONARY OWNERSHIP FOR 13F AS OF DATE 12/31/2009
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- ---------- --------- --- ---- ------- -------- ------ ------ --------- AT&T INC COM 00206R102 1797 64114 SHR SOLE 0 0 64114 AU OPTRONICS CORP COM 002255107 704 58695 SHR SOLE 0 0 58695 ABBOTT LABORATORIES COM 002824100 573 10611 SHR SOLE 0 0 10611 ACTIVISION BLIZZARD INC COM 00507V109 139 12545 SHR SOLE 0 0 12545 ADVANCED MICRO DEVICES COM 007903107 197 20302 SHR SOLE 0 0 20302 ALCOA INC COM 013817101 510 31659 SHR SOLE 0 0 31659 ALCATEL LUCENT COM 013904305 124 37214 SHR SOLE 0 0 37214 ALEXZA PHARMACEUTICALS COM 015384100 26 11000 SHR SOLE 0 0 11000 ALLIANCEBERNSTEIN * COM 01881E101 196 23703 SHR SOLE 0 0 23703 ALLIED IRISH BANK PLC COM 019228402 99 28200 SHR SOLE 0 0 28200 ALPINE TOTAL DYNAMIC COM 021060108 190 21313 SHR SOLE 0 0 21313 ALTRIA GROUP INC COM 02209S103 470 23958 SHR SOLE 0 0 23958 AMBAC FINANCIAL COM 023139108 29 34644 SHR SOLE 0 0 34644 AMDOCS LTD BOND 02342TAD1 260 3000 SHR SOLE 0 0 3000 AMERN SERVICE GROUP INC COM 02364L109 1620 102090 SHR SOLE 0 0 102090 AMERICAN WATER WORKS COM 030420103 2498 111455 SHR SOLE 0 0 111455 AMGEN INC COM 031162100 1246 22034 SHR SOLE 0 0 22034 AMGEN INC BOND 031162AQ3 201 2000 SHR SOLE 0 0 2000 ANADARKO PETROLEUM CORP COM 032511107 329 5263 SHR SOLE 0 0 5263 APPLE INC COM 037833100 1160 5506 SHR SOLE 0 0 5506 ARYX THERAPEUTICS INC COM 043387109 74 23010 SHR SOLE 0 0 23010 ASPYRA INC COM 04538V104 1 20840 SHR SOLE 0 0 20840 ATLANTIC TELE NETWORK COM 049079205 1653 30076 SHR SOLE 0 0 30076 BP PLC COM 055622104 561 9671 SHR SOLE 0 0 9671 BANK OF AMERICA CORP COM 060505104 588 39037 SHR SOLE 0 0 39037 BANK OF VIRGINIA COM 06544P104 60 18214 SHR SOLE 0 0 18214 BANKATLANTIC BANCORP COM 065908600 651 500390 SHR SOLE 0 0 500390 BARCLAYS BANK PLC IPATH PREF 06739H305 372 9110 SHR SOLE 0 0 9110 BARRY R G CORP OHIO COM 068798107 906 105363 SHR SOLE 0 0 105363 BEAZER HOMES USA INC COM 07556Q105 131 27107 SHR SOLE 0 0 27107 BERKSHIRE HATHAWAY INC COM 084670108 4166 42 SHR SOLE 0 0 42 BERKSHIRE HATHAWAY INC COM 084670207 1784 543 SHR SOLE 0 0 543 BHP BILLITON LIMITED COM 088606108 805 10513 SHR SOLE 0 0 10513 BIO RAD LABS INC CL A COM 090572207 3065 31772 SHR SOLE 0 0 31772 BLACKROCK CREDIT * COM 092508100 219 19236 SHR SOLE 0 0 19236 BLACKROCK INTERNATIONAL* COM 092524107 196 16969 SHR SOLE 0 0 16969 BLACKROCK REAL ASSET * COM 09254B109 171 13500 SHR SOLE 0 0 13500 BLACKROCK ENHANCED * COM 09256A109 192 12303 SHR SOLE 0 0 12303 BLOCKBUSTER INC COM 093679108 69 102531 SHR SOLE 0 0 102531 BOEING COMPANY COM 097023105 458 8462 SHR SOLE 0 0 8462 BOOTS & COOTS INC COM 099469504 1435 869506 SHR SOLE 0 0 869506 BOSTON SCIENTIFIC CORP COM 101137107 91 10067 SHR SOLE 0 0 10067 BRISTOL MYERS SQUIBB COM 110122108 1477 58498 SHR SOLE 0 0 58498 BRISTOL MYERS SQUIBB BOND 110122AN8 264 3000 SHR SOLE 0 0 3000 BURLINGTON NORTHERN COM 12189T104 272 2756 SHR SOLE 0 0 2756 C H ROBINSON WORLDWIDE COM 12541W209 627 10670 SHR SOLE 0 0 10670 C N A FINANCIAL CORP COM 126117100 1604 66837 SHR SOLE 0 0 66837 CVR ENERGY INC COM 12662P108 146 21300 SHR SOLE 0 0 21300 CVS CAREMARK CORP COM 126650100 382 11851 SHR SOLE 0 0 11851 CALAMOS GLOBAL DYNAMIC * COM 12811L107 103 13103 SHR SOLE 0 0 13103 CALAMOS STRATEGIC TOTAL COM 128125101 183 20948 SHR SOLE 0 0 20948 CALIFORNIA FIRST COM 130222102 258 19777 SHR SOLE 0 0 19777 CALUMET SPECIALTY COM 131476103 448 24453 SHR SOLE 0 0 24453 CAMERON INTERNATIONAL BOND 13342BAB1 404 3000 SHR SOLE 0 0 3000 CAPSTONE TURBINE CORP COM 14067D102 107 83723 SHR SOLE 0 0 83723 CARRIAGE SERVICES INC COM 143905107 317 80756 SHR SOLE 0 0 80756 CATERPILLAR INC COM 149123101 286 5023 SHR SOLE 0 0 5023 CATHAY GENERAL BANCORP COM 149150104 130 17224 SHR SOLE 0 0 17224 CENTRAL FUND OF CANADA COM 153501101 139 10100 SHR SOLE 0 0 10100 CENTRAL GARDEN & PET COM 153527106 153 14255 SHR SOLE 0 0 14255 CENTURYTEL INC COM 156700106 215 5947 SHR SOLE 0 0 5947 CHELSEA THERAPEUTICS COM 163428105 252 93412 SHR SOLE 0 0 93412 CHESAPEAKE ENERGY CORP COM 165167107 624 24110 SHR SOLE 0 0 24110 CHEVRON CORP COM 166764100 1251 16247 SHR SOLE 0 0 16247 CHINA BAK BATTERY INC COM 16936Y100 296 106433 SHR SOLE 0 0 106433 CHINA FUND INC COM 169373107 1996 70731 SHR SOLE 0 0 70731 CHINA DIGITAL TV HOLDING COM 16938G107 93 15250 SHR SOLE 0 0 15250 CHINA FIRE & SECURITY COM 16938R103 349 25804 SHR SOLE 0 0 25804 CHINA HOUSING & LAND COM 16939V103 69 16665 SHR SOLE 0 0 16665 CHINA PRECISION STL INC COM 16941J106 176 85719 SHR SOLE 0 0 85719 CHINA INFORMATION COM 16944F101 99 16040 SHR SOLE 0 0 16040 CHINACAST EDUCATION CORP COM 16946T109 109 14437 SHR SOLE 0 0 14437 CIENA CORPORATION NEW COM 171779309 444 41000 SHR SOLE 0 0 41000 CINCINNATI BELL INC NEW COM 171871106 120 34773 SHR SOLE 0 0 34773 CISCO SYSTEMS INC COM 17275R102 1027 42900 SHR SOLE 0 0 42900 CITIGROUP INC COM 172967101 1098 331744 SHR SOLE 0 0 331744 CLAUDE RESOURCES INC COM 182873109 14 12000 SHR SOLE 0 0 12000 CLAYMORE EXCHANGE TR COM 18383Q507 1051 57076 SHR SOLE 0 0 57076 CLIFFS NATURAL RESOURCES COM 18683K101 210 4555 SHR SOLE 0 0 4555 COCA-COLA COMPANY COM 191216100 718 12597 SHR SOLE 0 0 12597 COGNIZANT TECHNOLOGY COM 192446102 582 12847 SHR SOLE 0 0 12847 COHEN & STEERS REIT & * COM 19247Y108 150 14127 SHR SOLE 0 0 14127 COHEN & STEERS COM 19248A109 203 12710 SHR SOLE 0 0 12710 COHEN & STEERS * COM 19248P106 279 22986 SHR SOLE 0 0 22986 COMPANHIA DE SANEAMENTO COM 20441A102 1540 39377 SHR SOLE 0 0 39377 CONCORD MEDICAL SERVICES COM 206277105 95 11000 SHR SOLE 0 0 11000 CONOCOPHILLIPS COM 20825C104 870 17044 SHR SOLE 0 0 17044 COSI INC COM 22122P101 32 50182 SHR SOLE 0 0 50182 COST PLUS INC COM 221485105 15 15000 SHR SOLE 0 0 15000 COSTCO WHOLESALE CORP COM 22160K105 234 3954 SHR SOLE 0 0 3954 CURRENCYSHARES COM 23129X105 265 2790 SHR SOLE 0 0 2790 CYTOKINETICS INC COM 23282W100 128 44136 SHR SOLE 0 0 44136 DCP MIDSTREAM PARTNERS COM 23311P100 223 7550 SHR SOLE 0 0 7550 DRI CORPORATION COM 23330F109 135 82500 SHR SOLE 0 0 82500 DANAHER CORP COM 235851102 730 9713 SHR SOLE 0 0 9713 DARLING INTERNATIONAL COM 237266101 99 11823 SHR SOLE 0 0 11823 DEERE & COMPANY COM 244199105 218 4031 SHR SOLE 0 0 4031 DEJOUR ENTERPRISES LTD COM 244866208 3 10500 SHR SOLE 0 0 10500 DENISON MINES CORP COM 248356107 13 10300 SHR SOLE 0 0 10300 DESWELL INDUSTRIES INC COM 250639101 124 30677 SHR SOLE 0 0 30677 DISNEY WALT COMPANY COM 254687106 244 7573 SHR SOLE 0 0 7573 DISCOVER FINANCIAL COM 254709108 745 50676 SHR SOLE 0 0 50676 DOW CHEMICAL COMPANY COM 260543103 1310 47397 SHR SOLE 0 0 47397 DU PONT E.I.DE NEMOUR COM 263534109 513 15244 SHR SOLE 0 0 15244 DUKE ENERGY CORP NEW COM 26441C105 352 20458 SHR SOLE 0 0 20458 DUOYUAN PRINTING INC COM 26605B109 341 42395 SHR SOLE 0 0 42395 DYAX CORP COM 26746E103 42 12500 SHR SOLE 0 0 12500 EF JOHNSON TECHNOLOGIES COM 26843B101 17 14901 SHR SOLE 0 0 14901 EMC CORP BOND 268648AM4 375 3000 SHR SOLE 0 0 3000 E*TRADE FINANCIAL CORP COM 269246104 18 10000 SHR SOLE 0 0 10000 EASTMAN KODAK COMPANY COM 277461109 567 134415 SHR SOLE 0 0 134415 EATON VANCE LIMITED COM 27828H105 252 16927 SHR SOLE 0 0 16927 EATON VANCE TAX * COM 27828N102 154 11708 SHR SOLE 0 0 11708 EATON VANCE TAX MANAGED* COM 27828Y108 174 11568 SHR SOLE 0 0 11568 EATON VANCE TAX MANAGED* COM 27829C105 160 11510 SHR SOLE 0 0 11510 ECOLOGY&ENVRMNT INC CL A COM 278878103 2044 136257 SHR SOLE 0 0 136257 EMERSON ELECTRIC COMPANY COM 291011104 239 5619 SHR SOLE 0 0 5619 ENBRIDGE ENERGY PARTNERS COM 29250R106 334 6223 SHR SOLE 0 0 6223 ENTERPRISE PRODUCTS COM 293792107 288 9156 SHR SOLE 0 0 9156 EVERGREEN INCOME * COM 30023Y105 147 15414 SHR SOLE 0 0 15414 EVERGREEN GLOBAL * COM 30024H101 113 11005 SHR SOLE 0 0 11005 EVERGREEN SOLAR INC COM 30033R108 96 63799 SHR SOLE 0 0 63799 EXPRESS SCRIPTS INC COM 302182100 343 3972 SHR SOLE 0 0 3972 EZCORP INC CL A COM 302301106 2871 166944 SHR SOLE 0 0 166944 EXXON MOBIL CORP COM 30231G102 3014 44200 SHR SOLE 0 0 44200 FPL GROUP INC COM 302571104 251 4754 SHR SOLE 0 0 4754 FAIRFAX FINANCIAL COM 303901102 3983 10214 SHR SOLE 0 0 10214 FELCOR LODGING TRUST INC PREF 31430F200 127 11645 SHR SOLE 0 0 11645 FIRST CALIFORNIA COM 319395109 81 29631 SHR SOLE 0 0 29631 FIRST CASH FINANCIAL COM 31942D107 754 33997 SHR SOLE 0 0 33997 FIRST MARBLEHEAD CORP COM 320771108 40 18620 SHR SOLE 0 0 18620 FIRST REGIONAL BANCORP COM 33615C101 39 109048 SHR SOLE 0 0 109048 FIRST TRUST ABERDEEN * COM 337319107 229 14282 SHR SOLE 0 0 14282 FIRST TRUST SPECIALTY COM 33733G109 251 41945 SHR SOLE 0 0 41945 FIRST TRUST STRATEGIC * COM 337347108 44 15000 SHR SOLE 0 0 15000 FLAGSTAR BANCORP INC COM 337930101 17 27948 SHR SOLE 0 0 27948 FLUOR CORP NEW COM 343412102 272 6043 SHR SOLE 0 0 6043 FLUOR CORP BOND 343412AA0 324 2000 SHR SOLE 0 0 2000 FORD MOTOR COMPANY NEW COM 345370860 174 17431 SHR SOLE 0 0 17431 FRANKLIN COVEY COMPANY COM 353469109 154 24461 SHR SOLE 0 0 24461 FRANKLIN RESOURCES INC COM 354613101 1692 16057 SHR SOLE 0 0 16057 FRANKLIN UNIVERSAL COM 355145103 60 10273 SHR SOLE 0 0 10273 FREEPORT MCMORAN COPPER COM 35671D857 262 3262 SHR SOLE 0 0 3262 FRONTIER COMMUNICATIONS COM 35906A108 190 24341 SHR SOLE 0 0 24341 FUSHI COPPERWELD INC COM 36113E107 415 41043 SHR SOLE 0 0 41043 GP STRATEGIES CORP COM 36225V104 121 16009 SHR SOLE 0 0 16009 GABELLI EQUITY TRUST INC COM 362397101 79 15738 SHR SOLE 0 0 15738 GENERAL DYNAMICS COM 369550108 418 6129 SHR SOLE 0 0 6129 GENERAL ELECTRIC COMPANY COM 369604103 2763 182636 SHR SOLE 0 0 182636 GENWORTH FINANCIAL CL A COM 37247D106 544 47935 SHR SOLE 0 0 47935 GENZYME CORP COM 372917104 200 4085 SHR SOLE 0 0 4085 GERDAU S A COM 373737105 172 10100 SHR SOLE 0 0 10100 GILEAD SCIENCES INC COM 375558103 778 17984 SHR SOLE 0 0 17984 GOOGLE INC CLASS A COM 38259P508 370 596 SHR SOLE 0 0 596 GRAINGER W W INC COM 384802104 286 2950 SHR SOLE 0 0 2950 GREATER 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