Scott M. Lask
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.
Scott Mitchell Lask was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1983. Scott had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2007 - September 5, 2025
WEDBUSH SECURITIES INC.
June 29, 2007 - September 5, 2025
WEDBUSH SECURITIES INC.
June 6, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
May 30, 2006 - July 3, 2007
BROOKSTREET SECURITIES CORPORATION
January 9, 2004 - May 31, 2006
GREENWICH GLOBAL, LLC
January 5, 2004 - May 31, 2006
SOUND FINANCIAL ADVISORS
October 1, 1999 - January 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - January 5, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 15, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 30, 1994 - October 19, 1998
GRUNTAL & CO., L.L.C.
February 16, 1994 - September 12, 1994
D. BLECH & COMPANY, INCORPORATED
June 5, 1992 - February 2, 1994
CIBC WORLD MARKETS CORP.
August 20, 1990 - May 22, 1992
GRUNTAL & CO., L.L.C.
February 14, 1989 - September 7, 1990
RODMAN & RENSHAW INC.
April 5, 1988 - February 25, 1989
CITIGROUP GLOBAL MARKETS INC.
September 4, 1985 - January 27, 1988
GMS GROUP
September 4, 1985 - April 14, 1988
MOORE & SCHLEY, CAMERON & CO.
May 3, 1985 - September 9, 1985
CIBC WORLD MARKETS CORP.
October 16, 1984 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
October 19, 1983 - October 11, 1984
LEHMAN BROTHERS 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
Series 8
Date: 3/12/1997
General Securities Sales Supervisor Examination (Options Module & General Module)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.
