Executive Vice President and Head of Wealth Management

0001142495-20-000004.txt : 20200417 0001142495-20-000004.hdr.sgml : 20200417 20200416175450 ACCESSION NUMBER: 0001142495-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200417 DATE AS OF CHANGE: 20200416 EFFECTIVENESS DATE: 20200417 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WEDBUSH 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: 20797306 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 FORMER COMPANY: FORMER CONFORMED NAME: WEDBUSH MORGAN SECURITIES INC DATE OF NAME CHANGE: 20010613 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001142495 XXXXXXXX 03-31-2020 03-31-2020 WEDBUSH SECURITIES INC

1000 WILSHIRE BLVD., SUITE 900 ATTN: BUSINESS CONDUCT DEPT. LOS ANGELES CA 90017

13F HOLDINGS REPORT 028-12460 N Christopher Mone Executive Vice President and Head of Wealth Management 213-688-8900 /s/ Christopher Mone Los Angeles CA 04-16-2020 0 14083 840280 false INFORMATION TABLE 2 13FInfoTable_2020Q1.xml ABB LIMITED COM 000375204 187 10845 SH SOLE 0 0 10845 AFLAC INC COM 001055102 660 19265 SH SOLE 0 0 19265 AG MORTGAGE INV TR INC COM 001228105 88 32028 SH SOLE 0 0 32028 AGNC INVESTMENT CORP COM 00123Q104 412 38978 SH SOLE 0 0 38978 AES CORP COM 00130H105 162 11922 SH SOLE 0 0 11922 ALPS ALERIAN MLP ETF COM 00162Q866 181 52630 SH SOLE 0 0 52630 A-MARK PRECIOUS METALS COM 00181T107 1224 99664 SH SOLE 0 0 99664 AT&T INC COM 00206R102 9308 319322 SH SOLE 0 0 319322 ARK COM 00214Q104 432 9824 SH SOLE 0 0 9824 ASE TECHNOLOGY HOLDING COM 00215W100 62 16628 SH SOLE 0 0 16628 ABBOTT LABORATORIES COM 002824100 2534 32114 SH SOLE 0 0 32114 ABBVIE INC COM 00287Y109 5928 77806 SH SOLE 0 0 77806 ABERDEEN ASIA PACIFIC COM 003009107 53 15710 SH SOLE 0 0 15710 ABERDEEN GLOBAL 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45845 SH SOLE 0 0 45845 STARWOOD PROPERTY TRUST COM 85571B105 203 19822 SH SOLE 0 0 19822 STONE HARBOR EMRG MKTS COM 86164T107 80 10710 SH SOLE 0 0 10710 STRYKER CORP COM 863667101 796 4783 SH SOLE 0 0 4783 SUMMIT STATE BANK COM 866264203 565 70687 SH SOLE 0 0 70687 SUPERIOR GROUP OF COM 868358102 222 26252 SH SOLE 0 0 26252 SYNOPSYS INC COM 871607107 893 6932 SH SOLE 0 0 6932 SYSCO CORP COM 871829107 251 5504 SH SOLE 0 0 5504 THL CREDIT SENIOR LOAN COM 87244R103 143 12330 SH SOLE 0 0 12330 TJX COS INC NEW COM 872540109 614 12833 SH SOLE 0 0 12833 TAIWAN SEMICONDUCTOR COM 874039100 850 17794 SH SOLE 0 0 17794 TANGER FACTORY OUTLET COM 875465106 69 13861 SH SOLE 0 0 13861 TARGET CORP COM 87612E106 1872 20141 SH SOLE 0 0 20141 TEKLA HEALTHCARE OPPTYS COM 879105104 1549 100848 SH SOLE 0 0 100848 TEKLA HEALTHCARE INV SBI COM 87911J103 300 16861 SH SOLE 0 0 16861 TEKLA WORLD HLTHCARE COM 87911L108 428 37604 SH SOLE 0 0 37604 TELADOC HEALTH INC COM 87918A105 964 6218 SH SOLE 0 0 6218 TELEDYNE TECHNOLOGIES COM 879360105 240 809 SH SOLE 0 0 809 TELIGENT INC COM 87960W104 23 83772 SH SOLE 0 0 83772 TESLA INC COM 88160R101 865 1651 SH SOLE 0 0 1651 TEVA PHARMACEUTICAL INDS COM 881624209 464 51696 SH SOLE 0 0 51696 TEVA PHARM FINL LLC BOND 88163VAE9 740 8000 SH SOLE 0 0 8000 TEXAS INSTRUMENTS INC COM 882508104 630 6306 SH SOLE 0 0 6306 TEXAS PACIFIC LAND TRUST COM 882610108 452 1189 SH SOLE 0 0 1189 THERMO FISHER COM 883556102 1401 4939 SH SOLE 0 0 4939 3M COMPANY COM 88579Y101 2525 18498 SH SOLE 0 0 18498 TORONTO DOMINION BANK COM 891160509 214 5053 SH SOLE 0 0 5053 TORTOISE ESSENTIAL COM 89148A103 122 12036 SH SOLE 0 0 12036 TORTOISE MIDSTREAM COM 89148B101 9 10240 SH SOLE 0 0 10240 TOTAL S A COM 89151E109 541 14524 SH SOLE 0 0 14524 TOYOTA MOTOR CORP COM 892331307 226 1887 SH SOLE 0 0 1887 TRAVELERS COS INC COM 89417E109 384 3869 SH SOLE 0 0 3869 TRIO TECH INTL NEW COM 896712205 28 10409 SH SOLE 0 0 10409 TROVAGENE INC COM 897238606 21 20370 SH SOLE 0 0 20370 TRUIST 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VANGUARD CONSUMER COM 92204A207 489 3545 SH SOLE 0 0 3545 VANGUARD HEALTH CARE ETF COM 92204A504 466 2809 SH SOLE 0 0 2809 VANGUARD INDUSTRIALS ETF COM 92204A603 218 1976 SH SOLE 0 0 1976 VANGUARD INFORMATION COM 92204A702 974 4599 SH SOLE 0 0 4599 VANGUARD UTILITIES ETF COM 92204A876 269 2209 SH SOLE 0 0 2209 VANGUARD SHORT TERM CORP COM 92206C409 252 3184 SH SOLE 0 0 3184 VANGUARD INTERMEDIATE COM 92206C706 264 3746 SH SOLE 0 0 3746 VANGUARD INTERMEDIATE COM 92206C870 886 10170 SH SOLE 0 0 10170 VEEVA SYSTEMS INC COM 922475108 493 3150 SH SOLE 0 0 3150 VENTAS INC COM 92276F100 203 7582 SH SOLE 0 0 7582 VANGUARD COM 922907746 241 4555 SH SOLE 0 0 4555 VANGUARD S&P 500 COM 922908363 1224 5170 SH SOLE 0 0 5170 VANGUARD COM 922908553 2080 29780 SH SOLE 0 0 29780 VANGUARD MID CAP ETF COM 922908629 1196 9082 SH SOLE 0 0 9082 VANGUARD LARGE CAP ETF COM 922908637 227 1919 SH SOLE 0 0 1919 VANGUARD EXTENDED COM 922908652 270 2985 SH SOLE 0 0 2985 VANGUARD GROWTH ETF COM 922908736 1063 6786 SH 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ALLEGION PUBLIC LTD COM G0176J109 468 5085 SH SOLE 0 0 5085 ALLERGAN PLC COM G0177J108 572 3232 SH SOLE 0 0 3232 AON PLC CL A CHG COM G0408V102 298 1805 SH SOLE 0 0 1805 ATLASSIAN CORP PLC COM G06242104 896 6526 SH SOLE 0 0 6526 ACCENTURE PLC IRELAND COM G1151C101 1229 7527 SH SOLE 0 0 7527 BUNGE LIMITED COM G16962105 327 7964 SH SOLE 0 0 7964 EATON CORP PLC COM G29183103 575 7395 SH SOLE 0 0 7395 IHS MARKIT LTD COM G47567105 318 5294 SH SOLE 0 0 5294 JOHNSON CONTROLS INTL COM G51502105 271 10042 SH SOLE 0 0 10042 LIBERTY GLOBAL PLC COM G5480U120 268 17084 SH SOLE 0 0 17084 LINDE PLC COM G5494J103 671 3880 SH SOLE 0 0 3880 MEDTRONIC PLC COM G5960L103 1836 20362 SH SOLE 0 0 20362 NABRIVA THERAPEUTICS PLC COM G63637105 12 21000 SH SOLE 0 0 21000 NORDIC AMERICAN TANKER COM G65773106 69 15280 SH SOLE 0 0 15280 SEAGATE TECHNOLOGY PLC COM G7945M107 458 9378 SH SOLE 0 0 9378 SEADRILL LTD NEW COM G7998G106 4 10020 SH SOLE 0 0 10020 TRANE TECHNOLOGIES PLC COM G8994E103 274 3318 SH SOLE 0 0 3318 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