MR
Murray B. Roark
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CRD#: 1041803
MR
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Murray Bee Roark, who also goes by Pap Roark, was a registered financial professional .
Murray is a previously registered financial professional and started their career in finance in 1982. Murray had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Pap Roark
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1)ROARK RESOURCES/DIAMOND A RANCH; 600 E AUSTIN KERMIT TX 79745; NOT BUSINESS INVESTMENT RELATED; FAMILY CATTLE RANCHING OPERATION THAT WE HAVE HAD SINCE 1955; FAMILY BUSINESS; 2 HOUSR PER WEEK WILL BE DEVOTED TO THIS ACTIVITY; ZERO HOURS DURING TRADING HOURS; $5-10,000 PER YEAR; TALK WITH RANCH MANAGER ABD DISCUSS DRILLING ACTIVITIES WITH OIL AND GAS REPRESENTATIVES*** 2) 3 MAS Amigos, LLP; 2629 Dame Brisen Lewisville Texas 75056; Start date: 12/22/2015; Not investment related activity; This is a 1280 acres of land in west texas where our family ranch is. When my brother passed away his interest went to my three children and we formed this family LLP; Family Owned Business; 5 hours will be devoted to this activity per month; zero hours during trading hours; My title is Managing Member; I will represent our family in all aspects of activity. ****RHIM RESOURCES, NOT INVESTMENT RELATED, 2629 DAME BRISON DR LEWISVILLE TX 75056, OIL&GAS LINE ON PERSONAL PROPERTY, PRESIDENT AND SOLE OWNER, STARTED AUGUST 2018, 6 HRS DEVOTED PER MONTH, 0 HRS DURING TRADING, ACT AS MANAGER/OWNER; HANDLE ALL DUTIES. ****WILMA TERRY FINLEY FAMILY TRUST, NOT INVESTMENT RELATED, 2629 DAME BRISEN DR, LEWISVILLE, TX 75056, TRUSTEE, START DATE MAY 2006, 2-3 HOURS DEVOTED, ZERO HOURS DURING SECURITY TRADING HOURS, TRUST CONSISTS OF SMALL MINERAL INTERESTS IN WEST TEXAS, TRUSTEE IS RESPONSIBLE FOR NEGOTIATING NEW LEASES, MANAGING THE EXISTING LEASES, DEPOSITING THE MONTHLY ROYALTY CHECK AND PAYING BENEFICIARY OF THE TRUST MONTHLY INCOME.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 2, 2022 - September 18, 2023
WEDBUSH SECURITIES INC.
RIA
CRD#: 877
Dallas, TX
Past
June 2, 2022 - September 18, 2023
WEDBUSH SECURITIES INC.
BD
CRD#: 877
Dallas, TX
Past
February 23, 2022 - June 17, 2022
EUDAIMONIA ADVISORS LLC
RIA
CRD#: 302001
Lewisville, TX
Past
July 12, 2011 - February 24, 2022
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
Dallas, TX
Past
July 12, 2011 - February 24, 2022
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
Dallas, TX
Past
February 9, 2004 - July 13, 2011
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
FT. WORTH, TX
Past
September 23, 2003 - July 13, 2011
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
FT. WORTH, TX
Past
June 14, 2002 - December 20, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
February 16, 2001 - September 29, 2003
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
March 2, 1998 - March 1, 2001
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
March 25, 1993 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
BD
CRD#: 6663
DALLAS, TX
Past
February 3, 1988 - March 29, 1993
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 19, 1983 - February 10, 1988
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Past
July 22, 1982 - December 28, 1983
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/11/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEDBUSH SECURITIES INC.
WEDBUSH MORGAN SECURITIES INC. | WEDBUSH, NOBLE, COOKE, INC | WEDBUSH SECURITIES, INC. | WEDBUSH SECURITIES INC. | WEDBUSH PACGROW
CRD#: 877 / SEC#: 801-6358, 8-12987
RIA
Registered Investment Advisory firm - SEC (2/27/1970 Approved)California
Registered Investment Advisory firm - SEC (8/28/2006 Cancelled)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
225 S. Lake Ave Penthouse 225 S. Lake Ave Penthouse, Pasadena, CA 91101
Mailing Address
225 S. Lake Ave Penthouse Attn: Compliance, Pasadena, CA 91101
Phone number
(213) 688-8000
Established
California since 07/08/1966
Firm type
Corporation
Fiscal year end
June
Firm Size
Large
# of Employees
897
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
