Executive Vie President

0001142495-18-000004.txt : 20181113 0001142495-18-000004.hdr.sgml : 20181113 20181113164616 ACCESSION NUMBER: 0001142495-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 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: 181178672 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 09-30-2018 09-30-2018 WEDBUSH SECURITIES INC

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

13F HOLDINGS REPORT 028-12460 N R James Richards Executive Vie President 213-688-8000 /s/ R James Richards Los Angeles CA 11-13-2018 0 14387 881410 false INFORMATION TABLE 2 13FInfoTable_2018Q3.xml ABB LIMITED COM 000375204 209 8856 SH SOLE 0 0 8856 AFLAC INC COM 001055102 783 16637 SH SOLE 0 0 16637 AG MORTGAGE INV TR INC COM 001228105 759 41726 SH SOLE 0 0 41726 AK STEEL HOLDING CORP COM 001547108 510 104110 SH SOLE 0 0 104110 ALPS COM 00162Q478 206 6942 SH SOLE 0 0 6942 ALPS COM 00162Q593 256 6499 SH SOLE 0 0 6499 ALPS SECTOR DIVIDEND COM 00162Q858 255 5568 SH SOLE 0 0 5568 ALPS ALERIAN MLP ETF COM 00162Q866 827 77468 SH SOLE 0 0 77468 A-MARK PRECIOUS METALS COM 00181T107 1129 86733 SH SOLE 0 0 86733 AT&T INC COM 00206R102 8346 248547 SH SOLE 0 0 248547 ARK COM 00214Q104 413 8714 SH SOLE 0 0 8714 AU OPTRONICS CORP COM 002255107 352 83624 SH SOLE 0 0 83624 ABBOTT LABORATORIES COM 002824100 1626 22170 SH SOLE 0 0 22170 ABBVIE INC COM 00287Y109 6659 70402 SH SOLE 0 0 70402 ABERDEEN 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SOLE 0 0 8954 SEMPRA ENERGY COM 816851109 825 7256 SH SOLE 0 0 7256 SERVICE CORP INTL COM 817565104 466 10540 SH SOLE 0 0 10540 SHOPIFY INC COM 82509L107 320 1945 SH SOLE 0 0 1945 SIERRA ONCOLOGY INC COM 82640U107 68 39800 SH SOLE 0 0 39800 SIGMA DESIGNS INC COM 826565103 4 30000 SH SOLE 0 0 30000 SITO MOBILE LTD COM 82988R203 238 133770 SH SOLE 0 0 133770 SOCIAL REALITY INC COM 83362P300 69 18483 SH SOLE 0 0 18483 SOUTHERN COMPANY COM 842587107 1335 30617 SH SOLE 0 0 30617 SOUTHWEST AIRLINES CO COM 844741108 513 8218 SH SOLE 0 0 8218 SOUTHWESTERN ENERGY COM 845467109 137 26880 SH SOLE 0 0 26880 SPLUNK INC COM 848637104 312 2579 SH SOLE 0 0 2579 SPROTT PHYSICAL GOLD & COM 85208R101 131 11242 SH SOLE 0 0 11242 SQUARE INC COM 852234103 2883 29120 SH SOLE 0 0 29120 STAGE STORES INC NEW COM 85254C305 39 20000 SH SOLE 0 0 20000 STANLEY BLACK & DECKER COM 854502101 228 1556 SH SOLE 0 0 1556 STARBUCKS CORP COM 855244109 2392 42083 SH SOLE 0 0 42083 STARWOOD PROPERTY TRUST COM 85571B105 419 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109250 TORONTO DOMINION BANK COM 891160509 572 9415 SH SOLE 0 0 9415 TOTAL S A COM 89151E109 1075 16696 SH SOLE 0 0 16696 TRAVELERS COS INC COM 89417E109 593 4575 SH SOLE 0 0 4575 TREX CO INC COM 89531P105 281 3650 SH SOLE 0 0 3650 TRINITY BIOTECH PLC COM 896438306 65 16270 SH SOLE 0 0 16270 TRIO TECH INTL NEW COM 896712205 99 21700 SH SOLE 0 0 21700 TWILIO INC COM 90138F102 558 6467 SH SOLE 0 0 6467 TWITTER INC COM 90184L102 406 14269 SH SOLE 0 0 14269 TWO HARBORS INVESTMENT COM 90187B408 440 29457 SH SOLE 0 0 29457 U S BANCORP DE NEW COM 902973304 2028 38407 SH SOLE 0 0 38407 UMH PROPERTIES INC COM 903002103 1456 93067 SH SOLE 0 0 93067 ULTA BEAUTY INC COM 90384S303 2691 9537 SH SOLE 0 0 9537 ULTIMATE SOFTWARE GROUP COM 90385D107 281 873 SH SOLE 0 0 873 UNICO AMERICAN CORP COM 904607108 130 18414 SH SOLE 0 0 18414 UNIFI INC NEW COM 904677200 3645 128647 SH SOLE 0 0 128647 UNILEVER PLC COM 904767704 721 13117 SH SOLE 0 0 13117 UNION PACIFIC CORP COM 907818108 1667 10237 SH SOLE 0 0 10237 UNITED COMMUNITY FINL COM 909839102 2304 238215 SH SOLE 0 0 238215 UNITED PARCEL SERVICE COM 911312106 559 4786 SH SOLE 0 0 4786 UNITED STATES NAT GAS COM 912318300 1000 40287 SH SOLE 0 0 40287 UNITED STATES STEEL CORP COM 912909108 673 22096 SH SOLE 0 0 22096 UNITED TECHNOLOGIES CORP COM 913017109 2391 17100 SH SOLE 0 0 17100 UNITED THERAPEUTICS CORP COM 91307C102 474 3710 SH SOLE 0 0 3710 UNITEDHEALTH GROUP INC COM 91324P102 5049 18977 SH SOLE 0 0 18977 V F CORP COM 918204108 417 4461 SH SOLE 0 0 4461 VALERO ENERGY CORP COM 91913Y100 507 4459 SH SOLE 0 0 4459 VALVOLINE INC COM 92047W101 373 17362 SH SOLE 0 0 17362 VANECK VECTORS COM 92189F106 407 21949 SH SOLE 0 0 21949 VANECK VECTORS COM 92189F643 1534 32804 SH SOLE 0 0 32804 VANECK VECTORS COM 92189F791 269 9832 SH SOLE 0 0 9832 VANGUARD DIVIDEND COM 921908844 589 5319 SH SOLE 0 0 5319 VANGUARD TOTAL INTL COM 921909768 551 10211 SH SOLE 0 0 10211 VANGUARD TOTAL BOND COM 921937835 782 9935 SH SOLE 0 0 9935 VANGUARD FTSE DEVELOPED COM 921943858 1309 30263 SH SOLE 0 0 30263 VANGUARD SHORT TERM COM 922020805 320 6617 SH SOLE 0 0 6617 VANGUARD TOTAL INTL BOND COM 92203J407 225 4120 SH SOLE 0 0 4120 VANGUARD COM 922042775 1421 27302 SH SOLE 0 0 27302 VANGUARD FTSE EMERGING COM 922042858 692 16881 SH SOLE 0 0 16881 VANGUARD CONSUMER COM 92204A108 301 1670 SH SOLE 0 0 1670 VANGUARD INFORMATION COM 92204A702 306 1513 SH SOLE 0 0 1513 VANGUARD INTERMEDIATE COM 92206C706 226 3637 SH SOLE 0 0 3637 VANGUARD INTERMEDIATE COM 92206C870 579 6937 SH SOLE 0 0 6937 VECTOR GROUP LTD COM 92240M108 147 10692 SH SOLE 0 0 10692 VENTAS INC COM 92276F100 1009 18563 SH SOLE 0 0 18563 VANGUARD COM 922907746 242 4794 SH SOLE 0 0 4794 VANGUARD S&P 500 COM 922908363 898 3362 SH SOLE 0 0 3362 VANGUARD COM 922908553 3973 49250 SH SOLE 0 0 49250 VANGUARD SMALL CAP VALUE COM 922908611 405 2909 SH SOLE 0 0 2909 VANGUARD MID CAP ETF COM 922908629 735 4477 SH SOLE 0 0 4477 VANGUARD VALUE ETF COM 922908744 279 2522 SH SOLE 0 0 2522 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WILLIAMS COS INC COM 969457100 620 22796 SH SOLE 0 0 22796 WISDOMTREE EMERGING COM 97717W315 479 10978 SH SOLE 0 0 10978 WISDOMTREE JAPAN HEDGED COM 97717W851 268 4618 SH SOLE 0 0 4618 WISDOMTREE TRUST COM 97717X701 506 8011 SH SOLE 0 0 8011 WORLDPAY INC COM 981558109 555 5480 SH SOLE 0 0 5480 WYNN RESORTS LTD COM 983134107 413 3253 SH SOLE 0 0 3253 XCEL ENERGY INC COM 98389B100 466 9873 SH SOLE 0 0 9873 XAI OCTAGON FLOATING COM 98400T106 206 21023 SH SOLE 0 0 21023 YAMANA GOLD INC COM 98462Y100 55 22080 SH SOLE 0 0 22080 YELP INC CL A COM 985817105 254 5171 SH SOLE 0 0 5171 YOGAWORKS INC COM 986005106 18 15379 SH SOLE 0 0 15379 YUM BRANDS INC COM 988498101 425 4678 SH SOLE 0 0 4678 YUM CHINA HOLDINGS INC COM 98850P109 205 5844 SH SOLE 0 0 5844 ZIMMER BIOMET HOLDINGS COM 98956P102 346 2628 SH SOLE 0 0 2628 ZIX CORP COM 98974P100 109 19673 SH SOLE 0 0 19673 ZOETIS INC CL A COM 98978V103 948 10355 SH SOLE 0 0 10355 DEUTSCHE BANK AG COM D18190898 232 20400 SH SOLE 0 0 20400 ALLEGION 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SEAGATE TECHNOLOGY PLC COM G7945M107 500 10551 SH SOLE 0 0 10551 TRITON INTL LTD CL A COM G9078F107 1361 40902 SH SOLE 0 0 40902 AURIS MEDICAL HOLDING COM H0381L104 54 148290 SH SOLE 0 0 148290 CHUBB LTD COM H1467J104 941 7043 SH SOLE 0 0 7043 GARMIN LTD COM H2906T109 258 3676 SH SOLE 0 0 3676 TE CONNECTIVITY LTD COM H84989104 365 4153 SH SOLE 0 0 4153 TRANSOCEAN LTD COM H8817H100 154 11029 SH SOLE 0 0 11029 AFFIMED N V COM N01045108 48 11000 SH SOLE 0 0 11000 FERRARI NV NEW COM N3167Y103 277 2023 SH SOLE 0 0 2023 LYONDELLBASELL COM N53745100 501 4883 SH SOLE 0 0 4883 NYMOX PHARMACEUTICAL COM P73398102 384 155985 SH SOLE 0 0 155985 GOLAR LNG PARTNERS COM Y2745C102 295 20555 SH SOLE 0 0 20555 SCORPIO TANKERS INC COM Y7542C106 58 28719 SH SOLE 0 0 28719 STEALTHGAS INC COM Y81669106 65 18234 SH SOLE 0 0 18234