Larry M. Boggs
Professional summary
Larry Martin Boggs was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Larry is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Larry had worked at 6 firms, which includes WEDBUSH SECURITIES INC., AMERIPRISE FINANCIAL SERVICES LLC, AMERIPRISE ADVISOR SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2015 - July 1, 2016
WEDBUSH SECURITIES INC.
May 27, 2015 - July 1, 2016
WEDBUSH SECURITIES INC.
May 22, 2015 - June 3, 2015
WEDBUSH SECURITIES INC.
October 5, 2009 - May 15, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - May 15, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 7, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 2, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
August 5, 2002 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
August 5, 2002 - July 6, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 26, 1991 - August 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1991 - August 9, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 26, 1986 - April 23, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
