Jonathan W. Way
Professional summary
Jonathan Walter Way was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jonathan is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Jonathan had worked at 11 firms, which includes WEDBUSH SECURITIES INC., RYAN BECK & CO., GRUNTAL & CO. L.L.C., MOORS & CABOT INC., DAKIN SECURITIES CORPORATION, RODMAN & RENSHAW INC., CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, DREXEL BURNHAM LAMBERT INCORPORATED, L. F. ROTHSCHILD & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 2013 - August 18, 2022
WEDBUSH SECURITIES INC.
September 23, 2002 - August 18, 2022
WEDBUSH SECURITIES INC.
August 5, 2002 - October 3, 2002
RYAN BECK & CO.
April 29, 2002 - October 3, 2002
RYAN BECK & CO.
June 18, 1999 - May 15, 2002
GRUNTAL & CO., L.L.C.
September 9, 1998 - June 2, 1999
MOORS & CABOT, INC.
November 7, 1995 - September 9, 1998
DAKIN SECURITIES CORPORATION
October 27, 1995 - October 31, 1995
RODMAN & RENSHAW INC.
September 10, 1994 - October 18, 1995
CITIGROUP GLOBAL MARKETS INC.
August 14, 1990 - September 12, 1994
MORGAN STANLEY DW INC.
May 26, 1989 - August 21, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 14, 1988 - June 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 1, 1984 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
June 7, 1983 - April 30, 1984
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
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.
